SEC Form 4 · accession 0001039828-17-000045
AMERICAN EQUITY INVESTMENT LIFE HOLDING CO · AEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Noble
Director
Period of report
Apr 6, 2017
Accepted (ET)
Apr 10, 2017 · 3:02 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 StockF1 | Apr 6, 2017 | M | 3,318 | — | A | 1,546,997 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation PlanF1,F2 | — | Apr 6, 2017 | M | 3,318 | D | — | — | Common Stock | 3,318 | 63,143 | D |
Explanation of responses
- F1Each share deemed to be held by the Deferred Compensation Plan represents the right to receive one share of AEL common stock or the cash value thereof.
- F2Shares of AEL common stock deemed held by the Deferred Compensation Plan are payable in AEL common stock or cash following termination of the reporting person's employment with AEL. The reporting person may transfer the AEL stock deemed held in his Deferred Compensation Account into an alternative investment at any time.