SEC Form 4 · accession 0001127602-18-010136
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
Mar 2, 2018
Accepted (ET)
Mar 5, 2018 · 5:06 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 StockF1,F2 | Mar 2, 2018 | A | 136,904 | $0.00 | A | 385,109 | D | |
| Common StockF2 | Mar 2, 2018 | A | 112,724 | $0.00 | A | 497,833 | D | |
| Common StockF2 | Mar 2, 2018 | F | 75,110 | $14.28 | D | 422,723 | D | |
| Common StockF3 | holding | — | — | — | 297,352 | I | By Family/UGMA Trusts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent a grant of restricted stock units (RSUs) that will settle in common stock upon vesting. These RSUs will vest on the third anniversary of the grant date.
- F2Excludes 99,744 shares that were previously owned directly. These shares were contributed to the insider's personal trust on March 14, 2017 and are how held indirectly.
- F3Includes 99,744 shares that were contributed to a personal trust as described in footnote 2.