SEC Form 4 · accession 0001209191-17-008292
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 3, 2017
Accepted (ET)
Feb 7, 2017 · 4:08 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 | Sep 20, 2016 | G | 335 | $0.00 | D | 3,919,278 | I | #1 |
| Common StockF2,F1 | Nov 4, 2016 | G | 187 | $0.00 | A | 3,933,800 | I | #1 |
| Common StockF1 | Nov 28, 2016 | G | 62,566 | $0.00 | D | 3,871,234 | I | #1 |
| Common StockF1 | Dec 13, 2016 | G | 892 | $0.00 | D | 3,870,342 | I | #1 |
| Common StockF1 | Dec 22, 2016 | G | 23 | $0.00 | D | 3,870,319 | I | #1 |
| Common StockF3,F1 | Feb 3, 2017 | S | 150,000 | $90.8786 | D | 3,720,319 | I | #1 |
| Common StockF4,F1 | Feb 6, 2017 | S | 50,000 | $91.0048 | D | 3,670,319 | I | #1 |
| Common StockF5 | Nov 4, 2016 | G | 187 | $0.00 | A | 37,835 | I | #2 |
| Common StockF6 | holding | — | — | — | 1,248,500 | I | #12 | |
| Common StockF2,F7 | holding | — | — | — | 1,434,759 | I | #26 | |
| Common StockF8,F9 | holding | — | — | — | 2,311,386 | I | #29 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Indirect #1: CHL III, TTEE (or his Successors) of the Carl H. Lindner III Family Trust DTD 8/29/02 as Amended.
- F2On 9/30/2016, Indirect #26 transferred 14,335 shares of AFG Common Stock to Indirect #1.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.63 to $91.62, 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 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 $90.68 to $91.27 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 #26: CHL III 2010-1 Qualified Annuity Trust DTD 4/9/10.
- F8On 12/16/2016, 11,936 shares of Common Stock were transferred out of this account.
- F9Indirect #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.