SEC Form 4 · accession 0001039828-16-000152
AMERICAN EQUITY INVESTMENT LIFE HOLDING CO · AEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Debra J Richardson
Officer — Executive VP & Secretary · Director
Period of report
Mar 10, 2016
Accepted (ET)
Mar 14, 2016 · 3:58 pm EDT
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 StockF1 | Mar 10, 2016 | A | 9,644 | $0.00 | A | 236,165 | D | |
| Common Stock | Mar 11, 2016 | M | 47,250 | $10.24 | A | 283,415 | D | |
| Common StockF2 | Mar 11, 2016 | S | 47,250 | $15.189 | D | 236,165 | D | |
| Common Stock | holding | — | — | — | 8,380 | I | Shares are owned by trusts to which Mrs. Richardson is trustee. | |
| Common StockF3 | holding | — | — | — | 9,181 | 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 11, 2016 | M | 47,250 | D | Mar 15, 2013 | Mar 15, 2016 | Common Stock | 47,250 | 0 | D |
Explanation of responses
- F1An award of restricted stock units pursuant to the American Equity Investment Life Holding Company 2009 Employee Incentive Plan that vested and converted into shares of common stock.
- F2This transaction was executed in multiple trades at prices ranging from $15.00 to $15.365. 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.
- F3Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report.