SEC Form 4 · accession 0001127602-16-067226
AMERICAN AXLE & MANUFACTURING HOLDINGS INC · AXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Dauch
Officer — Chairman & CEO · Director
Period of report
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 4:40 pm EST
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 Stock | Nov 14, 2016 | P | 700 | $14.27 | A | 148,308 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 2,873 | $14.30 | A | 151,181 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 700 | $14.31 | A | 151,881 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 600 | $14.32 | A | 152,481 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 500 | $14.33 | A | 152,981 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 1,500 | $14.34 | A | 154,481 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 1,101 | $14.35 | A | 155,582 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 300 | $14.36 | A | 155,882 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 200 | $14.37 | A | 156,082 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 200 | $14.38 | A | 156,282 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 470 | $14.39 | A | 156,752 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 230 | $14.40 | A | 156,982 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 618 | $14.41 | A | 157,600 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 1,666 | $14.42 | A | 159,266 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 400 | $14.43 | A | 159,666 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 300 | $14.44 | A | 159,966 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 900 | $14.45 | A | 160,866 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 3,100 | $14.46 | A | 163,966 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 2,700 | $14.47 | A | 166,666 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 1,600 | $14.48 | A | 168,266 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 8,699 | $14.49 | A | 176,965 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 2,450 | $14.50 | A | 179,415 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 1,300 | $14.51 | A | 180,715 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 4,452 | $14.52 | A | 185,167 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 7,100 | $14.53 | A | 192,267 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 2,527 | $14.54 | A | 194,794 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 214 | $14.55 | A | 195,008 | I | By Family/UGMA Trusts |
| Common Stock | Nov 14, 2016 | P | 1,000 | $14.56 | A | 196,008 | I | By Family/UGMA Trusts |
| Common StockF1 | Nov 14, 2016 | P | 1,600 | $14.57 | A | 197,608 | I | By Family/UGMA Trusts |
| Common StockF2 | holding | — | — | — | 225,878 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 72,423 shares which were previously owned directly. These shares were contributed to the insiders personal trust on March 8, 2016.
- F2Excludes 72,423 shares that were contributed to the insider's personal trust as described in footnote (1).