SEC Form 4 · accession 0001209191-15-081264
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
Nov 17, 2015
Accepted (ET)
Nov 19, 2015 · 3:49 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,F2 | Mar 3, 2015 | G | 3,157 | $0.00 | D | 4,128,412 | I | #1 |
| Common StockF1,F2 | Mar 31, 2015 | G | 3,870 | $0.00 | D | 4,141,428 | I | #1 |
| Common StockF2 | Aug 6, 2015 | G | 1,700 | $0.00 | D | 4,139,728 | I | #1 |
| Common StockF2 | Aug 26, 2015 | G | 205 | $0.00 | A | 4,139,933 | I | #1 |
| Common StockF1,F2 | Sep 29, 2015 | G | 437 | $0.00 | D | 4,155,518 | I | #1 |
| Common StockF2 | Nov 17, 2015 | M | 48,394 | $27.20 | A | 4,203,912 | I | #1 |
| Common StockF3,F2 | Nov 17, 2015 | S | 48,394 | $70.9126 | D | 4,155,518 | I | #1 |
| Common StockF2 | Nov 18, 2015 | M | 26,606 | $27.20 | A | 4,182,124 | I | #1 |
| Common StockF4,F2 | Nov 18, 2015 | S | 26,606 | $70.7085 | D | 4,155,518 | I | #1 |
| Common StockF5 | Aug 26, 2015 | G | 205 | $0.00 | A | 37,648 | I | #2 |
| Common StockF10 | Apr 16, 2015 | G | 6,123 | $0.00 | D | 2,336,336 | I | #29 |
| Common StockF6 | holding | — | — | — | 1,348,500 | I | #12 | |
| Common StockF7 | holding | — | — | — | 176,166 | I | #21 | |
| Common StockF8 | holding | — | — | — | 33,091 | I | #22 | |
| Common StockF1,F9 | holding | — | — | — | 1,473,138 | I | #26 | |
| Common StockF11 | 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 ExerciseF12 | $27.20 | Nov 17, 2015 | M | 48,394 | D | — | Feb 21, 2018 | Common Stock | 48,394 | 26,606 | D |
| -Stock Option ExerciseF12 | $27.20 | Nov 18, 2015 | M | 26,606 | D | — | Feb 21, 2018 | Common Stock | 26,606 | 0 | D |
Explanation of responses
- F1On 3/31/2015, Indirect #26 transferred 10,695 shares of AFG Common Stock to Indirect #1 and on 6/30/2015, Indirect #26 transferred 16,886 shares of AFG Common Stock to Indirect #1. On 9/30/2015, Indirect #26 transferred 16,022 shares of AFG Common Stock to Indirect #1.
- F10Indirect #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.
- F11Indirect #30: Martha S. Lindner TTEE Carl H. Lindner Dynasty Trust DTD 12/21/12
- F12These 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.91 to $71.215, inclusive. The reporting person undertakes to provide to American Financial Group, Inc., ("AFG"), any security holder of AFG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnotes (3) and (4).
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.57 to $70.81 inclusive.
- F5Indirect #2: Martha S. Lindner, (or her Successor) of the Martha S. Lindner Family Trust DTD 8/30/02 as amended.
- F6Indirect #12: Seraphim Partners LLC fka CHL Investments, LLC
- F7Indirect #21: Doug Marcian, TTEE MBL Trust Dtd 10/26/05.
- F8Indirect #22: Doug Marcian, TTEE GD Trust Dtd 10/26/05.
- F9Indirect #26: CHL III 2010-1 Qualified Annuity Trust DTD 4/9/10.