SEC Form 4 · accession 0001039828-16-000138
AMERICAN EQUITY INVESTMENT LIFE HOLDING CO · AEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M Matovina
Officer — CEO & President · Director
Period of report
Mar 1, 2016
Accepted (ET)
Mar 2, 2016 · 5:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001039828
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2016 | M | 10,000 | $10.24 | A | 148,012 | D | |
| Common StockF1 | Mar 1, 2016 | S | 10,000 | $14.4241 | D | 138,012 | D | |
| Common StockF2 | holding | — | — | — | 9,044 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options - Right to Buy | $10.24 | Mar 1, 2016 | M | 10,000 | D | Mar 15, 2013 | Mar 15, 2016 | Common Stock | 10,000 | 27,250 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $14.41 to $14.44. The price reported in column 4 is an average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares sold and the prices at which the transactions were settled.
- F2Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report.