SEC Form 4 · accession 0001039828-18-000019
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 15, 2018
Accepted (ET)
Mar 16, 2018 · 1:54 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 15, 2018 | M | 28,000 | $10.85 | A | 213,890 | D | |
| Common Stock | Mar 15, 2018 | F | 8,000 | $31.76 | D | 205,890 | D | |
| Common StockF1 | Mar 16, 2018 | S | 8,000 | $31.764 | D | 197,890 | D | |
| Common Stock | Mar 16, 2018 | M | 12,000 | $10.85 | A | 209,890 | D | |
| Common StockF2 | Mar 16, 2018 | S | 12,000 | $31.9075 | D | 197,890 | D | |
| Common Stock | holding | — | — | — | 11,376 | 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 | $10.85 | Mar 15, 2018 | M | 28,000 | D | Jun 11, 2011 | Jun 11, 2018 | Common Stock | 28,000 | 12,000 | D |
| Options - Right to Buy | $10.85 | Mar 16, 2018 | M | 12,000 | D | Jun 11, 2011 | Jun 11, 2018 | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $31.76 to $31.78. 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.
- F2This transaction was executed in multiple trades at prices ranging from $31.90 to $31.965. 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.