SEC Form 4 · accession 0001209191-18-030240
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
May 11, 2018
Accepted (ET)
May 15, 2018 · 4:33 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,F2 | May 11, 2018 | M | 50,000 | $34.34 | A | 2,874,566 | I | #1 |
| Common StockF2 | May 11, 2018 | S | 50,000 | $111.877 | D | 2,824,566 | I | #1 |
| Common StockF1,F3 | holding | — | — | — | 674,162 | I | #2 | |
| Common StockF4 | holding | — | — | — | 1,248,500 | I | #12 | |
| Common StockF5 | holding | — | — | — | 1,428,174 | I | #26 | |
| Common StockF6 | holding | — | — | — | 2,311,386 | I | #29 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option ExerciseF7 | $34.34 | May 11, 2018 | M | 50,000 | D | — | Feb 16, 2021 | Common Stock | 0 | 0 | D |
Explanation of responses
- F1On May 1, 2018, Indirect #1 transferred 636,064 shares of common stock to Indirect #2.
- F2Indirect #1: CHL III, TTEE (or his Successors) of the Carl H. Lindner III Family Trust DTD 8/29/02 as Amended.
- 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.
- F7These Employee Stock Options become exercisable in five equal installments beginning on the first anniversary of the grant date.