SEC Form 4 · accession 0001209191-17-020815
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
Mar 15, 2017
Accepted (ET)
Mar 15, 2017 · 4:23 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 StockF1 | Feb 6, 2017 | G | 11,411 | $0.00 | D | 3,674,793 | I | #1 |
| Common StockF1 | Mar 15, 2017 | A | 18,394 | $0.00 | A | 3,693,187 | I | #1 |
| Common StockF3 | holding | — | — | — | 37,835 | I | #2 | |
| Common StockF4 | holding | — | — | — | 1,248,500 | I | #12 | |
| Common StockF5 | holding | — | — | — | 1,434,759 | I | #26 | |
| Common StockF6 | 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.
- F2Stock award from the Issuer made under the Senior Executive Equity Bonus Plan.
- F3Indirect #2: Martha S. Lindner, (or her Successor) of the Martha S. Lindner Family Trust DTD 8/30/02 as amended.
- F4Indirect #12: Seraphim Partners LLC fka CHL Investments, LLC
- F5Indirect #26: CHL III 2010-1 Qualified Annuity Trust DTD 4/9/10.
- F6Indirect #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.