SEC Form 4 · accession 0001209191-16-149314
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
Nov 8, 2016
Accepted (ET)
Nov 10, 2016 · 4:05 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 Stock | Nov 8, 2016 | M | 5,000 | $27.20 | A | 138,001 | D | |
| Common StockF1 | Nov 8, 2016 | S | 5,000 | $76.5933 | D | 133,001 | D | |
| Common Stock | Nov 9, 2016 | M | 2,500 | $27.20 | A | 135,501 | D | |
| Common StockF2 | Nov 9, 2016 | S | 2,500 | $76.996 | D | 133,001 | D | |
| Common StockF3 | 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 ExerciseF4 | $27.20 | Nov 8, 2016 | M | 5,000 | D | — | Dec 31, 2017 | Common | 5,000 | 4,500 | D |
| Stock Option ExerciseF4 | $27.20 | Nov 9, 2016 | M | 2,500 | D | — | Dec 31, 2017 | Common | 2,500 | 2,000 | 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 $76.55 to $76.66, 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) and footnote (2) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.99 to $77.02, inclusive.
- F3Shares 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.
- F4In connection with the Reporting Person's retirement as an employee of the Company, the Employee Stock Options were accelerated to be fully vested and exercisable.