SEC Form 4 · accession 0001209191-16-139375
AMERICAN FINANCIAL GROUP INC · AFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E Evans
Director
Period of report
Aug 30, 2016
Accepted (ET)
Sep 1, 2016 · 1:07 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 30, 2016 | M | 15,000 | $27.20 | A | 148,001 | D | |
| Common StockF1 | Aug 30, 2016 | S | 15,000 | $75.1632 | D | 133,001 | D | |
| Common StockF2 | holding | — | — | — | 11,372 | I | ESPP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option ExerciseF3 | $27.20 | Aug 30, 2016 | M | 15,000 | D | — | Dec 31, 2017 | Common | 15,000 | 12,500 | 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 $75.00 to $75.65, 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 footnote (1) to this Form 4.
- F2Shares allocated to the Reporting Person's account under the Issuer's Employee Stock Purchase Plan. All ESPP information reporting herein is based on a plan statement dated as of 12/31/2015.
- F3These Employee Stock Options become exercisable in five equal installments beginning on the first anniversary of the grant date.