SEC Form 4 · accession 0001039828-18-000023
AMERICAN EQUITY INVESTMENT LIFE HOLDING CO · AEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald James Grensteiner
Officer — Executive Vice President
Period of report
Mar 23, 2018
Accepted (ET)
Mar 26, 2018 · 5:35 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 23, 2018 | M | 27,750 | $9.27 | A | 122,792 | D | |
| Common Stock | Mar 23, 2018 | M | 270 | $7.00 | A | 123,062 | D | |
| Common StockF1 | Mar 23, 2018 | S | 28,020 | $30.6114 | D | 95,042 | D | |
| Common Stock | Mar 26, 2018 | M | 19,730 | $7.00 | A | 114,772 | D | |
| Common StockF2 | Mar 26, 2018 | S | 19,730 | $29.6081 | D | 95,042 | D | |
| Common Stock | holding | — | — | — | 11,324 | 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 | $9.27 | Mar 23, 2018 | M | 27,750 | D | Jun 11, 2013 | Jun 11, 2020 | Common Stock | 27,750 | 0 | D |
| Options - Right to Buy | $7.00 | Mar 23, 2018 | M | 270 | D | May 8, 2012 | May 8, 2019 | Common Stock | 270 | 19,730 | D |
| Options - Right to Buy | $7.00 | Mar 26, 2018 | M | 19,730 | D | May 8, 2012 | May 8, 2019 | Common Stock | 19,730 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $30.50 to $31.105. 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 $29.50 to $29.73. 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.