SEC Form 5 · accession 0001209191-17-009992
AMERICAN FINANCIAL GROUP INC · AFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S Craig Lindner
Officer — Co-CEO & Co-President · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 4:25 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 | Nov 4, 2016 | G | 187 | $0.00 | A | 2,627,301 | I | #1 |
| Common StockF1 | Dec 7, 2016 | G | 3,720 | $0.00 | D | 2,623,581 | I | #1 |
| Common stockF1 | Dec 12, 2016 | G | 1,470 | $0.00 | D | 2,622,111 | I | #1 |
| Common StockF1 | Dec 13, 2016 | G | 265 | $0.00 | D | 2,621,846 | I | #1 |
| Common StockF1 | Dec 19, 2016 | G | 46,325 | $0.00 | D | 2,575,521 | I | #1 |
| Common stockF2 | Nov 4, 2016 | G | 187 | $0.00 | A | 113,096 | I | #3 |
| Common StockF3 | holding | — | — | — | 31,506 | I | #12 | |
| Common StockF4,F5 | holding | — | — | — | 2,311,386 | I | #27 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF6 | — | holding | — | — | — | — | — | Common | — | 14,845 | D |
Explanation of responses
- F1Indirect #1: SCL TTEE of the SCL Living Trust DTD 03/30/83.
- F2Indirect #3: By Frances R. Lindner, Trustee for the Frances R. Lindner Living Trust dated 9/13/93.
- F3Indirect #12: Held in the Company's Retirement and Savings Plan. The number of shares of Common Stock is based on a statement dated as of 12/31/16.
- F4On 12/16/2016, 11,936 shares were transferred out of this account.
- F5Indirect #27: Shares voting and dispositive power and holds a remainder interest in shares held by 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.
- F6Represents amounts held by Reporting Person in a retirement plan of the Issuer based on a statement dated 12/31/16. Each share is the economic equivalent of one share of common stock. The Reporting Person's account balance is distributed in cash following termination of employment.