SEC Form 5 · accession 0001209191-15-011349
AMERICAN FINANCIAL GROUP INC · AFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl H Lindner III
Officer — Co-CEO & Co-President · Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 10, 2015 · 4:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001042046
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 28, 2014 | G | 1,711 | $0.00 | D | 4,113,677 | I | #1 |
| Common StockF1 | Jun 19, 2014 | G | 17,558 | $0.00 | D | 4,096,119 | I | #1 |
| Common StockF2,F1 | Jun 30, 2014 | G | 3,374 | $0.00 | D | 4,111,941 | I | #1 |
| Common StockF3,F1 | Oct 8, 2014 | G | 243 | $0.00 | A | 4,131,802 | I | #1 |
| Common StockF1 | Nov 21, 2014 | G | 2,016 | $0.00 | D | 4,129,786 | I | #1 |
| Common StockF1 | Nov 25, 2014 | G | 496 | $0.00 | D | 4,129,290 | I | #1 |
| Common StockF1 | Dec 12, 2014 | G | 9,240 | $0.00 | D | 4,120,050 | I | #1 |
| Common StockF1 | Dec 22, 2014 | G | 19,797 | $0.00 | D | 4,100,253 | I | #1 |
| Common StockF4 | Oct 8, 2014 | G | 243 | $0.00 | A | 37,443 | I | #2 |
| Common StockF12 | Oct 8, 2014 | G | 243 | $0.00 | A | 1,584 | I | #28 |
| Common StockF13 | May 28, 2014 | G | 4,277 | $0.00 | D | 2,362,019 | I | #29 |
| Common StockF13 | Dec 17, 2014 | G | 15,410 | $0.00 | D | 2,346,609 | I | #29 |
| Common StockF5 | holding | — | — | — | 1,348,500 | I | #12 | |
| Common StockF6 | holding | — | — | — | 176,166 | I | #21 | |
| Common StockF7 | holding | — | — | — | 33,091 | I | #22 | |
| Common StockF8,F9 | holding | — | — | — | 56,709 | I | #25 | |
| Common StockF2,F3,F10 | holding | — | — | — | 1,516,741 | I | #26 | |
| Common StockF8,F11 | holding | — | — | — | 167,621 | I | #27 | |
| Common StockF14 | holding | — | — | — | 110,589 | I | #30 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Indirect #1: CHL III, TTEE (or his Successors) of the Carl H. Lindner III Family Trust DTD 8/29/02 as Amended.
- F10Indirect #26: CHL III 2010-1 Qualified Annuity Trust Dtd 4/9/10.
- F11Indirect #27: Lou Ann Flint TTEE MBL 2009 Trust Dtd 4/13/2009.
- F12Indirect #28: MBL TTEE MBL Trust Dtd 1/17/2008.
- F13Indirect #29: Shares voting and dispositive power and holds a remainder interest in shares held by charitable lead annuity trust. The reporting person disclaims beneficial interest of the shares held by the trust except to the extent of his pecuniary interest in such shares.
- F14Indirect #30: MSL TTEE Carl H. Lindner III Dynasty Trust Dtd 12/21/2012.
- F2On 6/30/2014, Indirect #26 transferred 19,196 shares of AFG Common Stock to Indirect #1.
- F3On 9/30/2014, Indirect #26 transferred 19,618 shares of AFG common stock to Indirect #1.
- F4Indirect #2: Martha S. Lindner, (or her Successor) of the Martha S. Lindner Family Trust DTD 8/30/02, as amended.
- F5Indirect #12: Seraphim Partners LLC fka CHL Investments, LLC
- F6Indirect #21, Doug Marcian, TTEE ML Trust Dtd 10/26/05.
- F7Indirect #22: Doug Marcian TTEE GB Trust Dtd 10/26/05. (GD)
- F8On September 16, 2014, Indirect #25 transferred 89,950 shares of AFG common stock to Indirect #27.
- F9Indirect #25: Lou Ann Flint TTEE MBL 2009 Consolidation Trust Dtd 12/22/09.