SEC Form 4 · accession 0001209191-15-018491
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
Feb 23, 2015
Accepted (ET)
Feb 25, 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 StockF2 | Feb 23, 2015 | A | 11,880 | $0.00 | A | 4,112,133 | I | #1 |
| Common StockF3 | holding | — | — | — | 37,443 | I | #2 | |
| Common StockF4 | holding | — | — | — | 1,348,500 | I | #12 | |
| Common StockF5 | holding | — | — | — | 176,166 | I | #21 | |
| Common StockF6 | holding | — | — | — | 33,091 | I | #22 | |
| Common StockF7 | holding | — | — | — | 56,709 | I | #25 | |
| Common StockF8 | holding | — | — | — | 1,516,741 | I | #26 | |
| Common StockF9 | holding | — | — | — | 167,621 | I | #27 | |
| Common StockF10 | holding | — | — | — | 1,584 | I | #28 | |
| Common StockF11 | holding | — | — | — | 2,346,609 | I | #29 | |
| Common StockF12 | holding | — | — | — | 110,589 | I | #30 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option GrantF13 | $63.15 | Feb 23, 2015 | A | 50,000 | D | — | Feb 23, 2025 | Common | 50,000 | 50,000 | D |
Explanation of responses
- F1Represents the grant of restricted stock from the Issuer that vests four years from the date of grant.
- F10Indirect #28 MBL TTEE MBL Trust DTD 1/17/2008
- F11Indirect #29: Shares voting and dispositive power and holds a remainder interest in shares held directly or indirectly by a 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.
- F12Indirect #30: Martha S. Lindner TTEE Carl H. Lindner Dynasty Trust DTD 12/21/12
- F13These Employee Stock Options become exercisable in five equal installments beginning on the first anniversary of the grant date.
- F2Indirect #1: CHL III, TTEE (or his Successors) of the Carl H. Lindner III Family Trust DTD 8/29/02 as Amended.
- F3Indirect #2: Martha S. Lindner, (or her Successor) of the Martha S. Lindner Family Trust DTD 8/30/02 as amended.
- F4Indirect #12: Seraphim Partners LLC fka CHL Investments, LLC
- F5Indirect #21: Doug Marcian, TTEE MBL Trust Dtd 10/26/05.
- F6Indirect #22: Doug Marcian, TTEE GD Trust Dtd 10/26/05.
- F7Indirect #25: Lou Ann Flint TTEE MBL 2009 Consolidation Trust DTD 12/22/09.
- F8Indirect #26: CHL III 2010-1 Qualified Annuity Trust DTD 4/9/10.
- F9Indirect #27: Lou Ann Flint TTEE MBL 2009 Trust DTD 4/13/2009.