SEC Form 4 · accession 0001209191-17-031882
AMERICAN FINANCIAL GROUP INC · AFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Berding
Officer — President of Subsidiary · Director
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:07 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 | May 10, 2017 | M | 19,999 | $19.10 | A | 61,143 | D | |
| Common Stock | May 10, 2017 | M | 8,000 | $24.83 | A | 69,143 | D | |
| Common StockF1 | May 10, 2017 | S | 27,999 | $97.95 | D | 41,144 | D | |
| Common Stock | May 12, 2017 | M | 5,001 | $19.10 | A | 46,145 | D | |
| Common Stock | May 12, 2017 | M | 4,208 | $24.83 | A | 50,353 | D | |
| Common Stock | May 12, 2017 | M | 2,912 | $34.34 | A | 53,265 | D | |
| Common Stock | holding | — | — | — | 233 | I | By Trust | |
| Common StockF2 | holding | — | — | — | 4,646 | I | ESPP | |
| Common StockF3 | holding | — | — | — | 1,293 | I | 401(k) |
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 | $19.10 | May 10, 2017 | M | 19,999 | D | — | Feb 12, 2019 | Common | 19,999 | 5,001 | D |
| Stock Option ExerciseF4 | $24.83 | May 10, 2017 | M | 8,000 | D | — | Feb 11, 2020 | Common | 8,000 | 17,000 | D |
| Stock Option ExerciseF4 | $19.10 | May 12, 2017 | M | 5,001 | D | — | Feb 12, 2019 | Common | 5,001 | 0 | D |
| Option ExerciseF4 | $24.83 | May 12, 2017 | M | 4,208 | D | — | Feb 11, 2020 | Common | 4,208 | 12,792 | D |
| Stock Option ExerciseF4 | $34.34 | May 12, 2017 | M | 2,912 | D | — | Feb 16, 2021 | Common | 2,912 | 24,588 | 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 $97.59 to $98.24, 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 this footnote (1).
- F2Shares allocated to the Reporting Person's account under the Issuer's Employee Stock Purchase Plan (the "ESPP"). All ESPP information reported herein is based on a plan statement dated as of 12/31/2016.
- F3Represents shares held in the Issuer's 401(k) Retirement and Savings Plan. The number of shares of Common Stock is based on a Plan Statement dated as of 12/31/2016.
- F4These Employee Stock Options become exercisable in five equal installments beginning on the first anniversary of the grant date.