SEC Form 4 · accession 0001039828-16-000156
AMERICAN EQUITY INVESTMENT LIFE HOLDING CO · AEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Gerlach
Director
Period of report
Mar 11, 2016
Accepted (ET)
Mar 15, 2016 · 12:02 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 Stock | Mar 11, 2016 | M | 27,750 | $9.27 | A | 239,667 | D | |
| Common Stock | Mar 11, 2016 | M | 47,250 | $10.24 | A | 286,917 | D | |
| Common Stock | Mar 11, 2016 | M | 20,000 | $7.00 | A | 306,917 | D | |
| Common Stock | Mar 11, 2016 | M | 40,000 | $10.85 | A | 346,917 | D | |
| Common StockF1 | Mar 11, 2016 | S | 135,000 | $15.3165 | D | 211,917 | D |
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 | $9.27 | Mar 11, 2016 | M | 27,750 | D | Jun 11, 2013 | Jun 11, 2020 | Common Stock | 27,750 | 0 | D |
| 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 |
| Options - Right to Buy | $7.00 | Mar 11, 2016 | M | 20,000 | D | May 8, 2012 | May 8, 2019 | Common Stock | 20,000 | 0 | D |
| Options - Right to Buy | $10.85 | Mar 11, 2016 | M | 40,000 | D | Jun 11, 2011 | Jun 11, 2018 | Common Stock | 40,000 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $15.23 to $15.515. 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.