SEC Form 4 · accession 0001104659-17-034632
AMERICAN AXLE & MANUFACTURING HOLDINGS INC · AXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
AMERICAN SECURITIES LLC
10% Owner
Loren S. Easton
Director
Kevin S. Penn
Director
ASP MD Investco LP
10% Owner
Period of report
May 4, 2017
Accepted (ET)
May 23, 2017 · 5:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001062231
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF4,F5,F7,F3 | May 4, 2017 | A | 7,513 | — | A | 7,513 | D | |
| Common StockF4,F6,F7,F3 | May 4, 2017 | A | 7,513 | — | A | 7,513 | D | |
| Common StockF1,F3 | holding | — | — | — | 8,670 | D | ||
| Common StockF2,F3 | holding | — | — | — | 25,682,679 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares directly owned by American Securities LLC ("ASL").
- F2Shares directly owned by ASP MD Investco LP ("Investco") that may also be deemed to be indirectly beneficially owned by ASL and each of: American Securities Partners VI, L.P., American Securities Partners VI(B), L.P., American Securities Partners VI(C), L.P. and American Securities Partners VI(D), L.P. (each, a "Sponsor"), the owners of partnership interests in Investco, and American Securities Associates VI, LLC, the general partner of each Sponsor. ASL also provides investment advisory services to each Sponsor.
- F3Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of such Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F4Represents the grant of restricted stock units from the Issuer that will be settled in the Issuer's common stock upon vesting, which generally is on the one-year anniversary of the date of grant.
- F5Kevin Penn is a managing director of ASL and a director of the Issuer. Pursuant to an arrangement between Mr. Penn and ASL, all director fees received by him from the Issuer are paid over to or held for the benefit of ASL.
- F6Loren Easton is a managing director of ASL and a director of the Issuer. Pursuant to an arrangement between Mr. Easton and ASL, all director fees received by him from the Issuer are paid over to or held for the benefit of ASL.
- F7Not applicable.
Remarks
Exhibit 99.1 Joint Filer Information, incorporated herein by reference.