SEC Form 4 · accession 0001209191-16-136995
AMERICAN FINANCIAL GROUP INC · AFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Berding
Officer — President of Subsidiary · Director
Period of report
Aug 11, 2016
Accepted (ET)
Aug 15, 2016 · 4:12 pm EDT
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 Stock | Aug 11, 2016 | M | 16,000 | $27.20 | A | 91,297 | D | |
| Common StockF1 | Aug 11, 2016 | S | 16,000 | $73.69 | D | 75,297 | D | |
| Common Stock | Aug 12, 2016 | M | 4,324 | $27.20 | A | 79,621 | D | |
| Common StockF2 | Aug 12, 2016 | S | 4,324 | $73.7789 | D | 75,297 | D | |
| Common Stock | holding | — | — | — | 233 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 4,159 | I | ESPP | |
| Common StockF4 | holding | — | — | — | 1,264 | I | 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option ExerciseF5 | $27.20 | Aug 11, 2016 | M | 16,000 | D | — | Feb 21, 2018 | Common | 16,000 | 30,324 | D |
| Stock Option ExerciseF5 | $27.20 | Aug 12, 2016 | M | 4,324 | D | — | Feb 21, 2018 | Common | 4,324 | 26,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.64 to $73.72, 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 ranges set forth in this footnote (1) and footnote (2).
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.77 to $73.79, inclusive.
- F3Shares allocated to the Reporting Person's account under the Issuer's Employee Stock Purchase Plan (the "ESPP"). All ESPP information reported herein is based on a plan statement dated as of 12/31/2015.
- F4Represents shares held in the Issuer's 401(k) Retirement and Savings Plan. The number of shares of Common Stock is based on a Plan Statement dated as of 12/31/2015.
- F5These Employee Stock Options become exercisable in five equal installments beginning on the first anniversary of the grant date.