- Statement of Changes in Beneficial Ownership (4)
27 3월 2010 - 5:13AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
LINDNER CARL H III
|
2. Issuer Name
and
Ticker or Trading Symbol
AMERICAN FINANCIAL GROUP INC
[
AFG
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Co-CEO & Co-President
|
(Last)
(First)
(Middle)
ONE EAST FOURTH STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/24/2010
|
(Street)
CINCINNATI, OH 45202
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
3/24/2010
|
|
S
|
|
70000
|
D
|
$28.4452
(1)
|
4863393
|
I
|
#1
(2)
|
Common Stock
|
3/25/2010
|
|
M
|
|
82500
|
A
|
$17.1867
|
4945893
|
I
|
#1
(2)
|
Common Stock
|
3/25/2010
|
|
S
|
|
82500
|
D
|
$28.3431
(3)
|
4863393
|
I
|
#1
(2)
|
Common Stock
|
|
|
|
|
|
|
|
34901
|
I
|
#2
(4)
|
Common Stock
|
|
|
|
|
|
|
|
0
|
I
|
#4
(5)
|
Common Stock
|
|
|
|
|
|
|
|
191202
|
I
|
#8
(6)
|
Common Stock
|
|
|
|
|
|
|
|
1468500
|
I
|
#12
(7)
|
Common Stock
|
|
|
|
|
|
|
|
2376
|
I
|
#14
(8)
|
Common Stock
|
|
|
|
|
|
|
|
30457
|
I
|
#15
(9)
|
Common Stock
|
|
|
|
|
|
|
|
226166
|
I
|
#21
(10)
|
Common Stock
|
|
|
|
|
|
|
|
113019
|
I
|
#22
(11)
|
Common Stock
|
|
|
|
|
|
|
|
1713
|
I
|
#24
(12)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option Exercise
|
$17.1867
|
3/25/2010
|
|
M
|
|
|
82500
|
(13)
|
2/25/2012
|
Common Stock
|
82500
|
$0.00
|
0
|
D
|
|
Explanation of Responses:
|
(
1)
|
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.35 to $28.54, 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 footnotes (1) and (3) to this Form 4.
|
(
2)
|
Indirect #1: CHL III, TTEE (or his Successors) of the Carl H. Lindner III Family Trust DTD 8/29/02 as Amended. (c3)
|
(
3)
|
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.16 to 28.48, inclusive.
|
(
4)
|
Indirect #2: Martha S. Lindner, (or her Successor) o the Martha S. Lindner Family Trust DTD 8/30/02 as amended. (c3)
|
(
5)
|
Indirect #4: The Company's Retirement and Savings Plans. The number of shares of Common Stock which would be represented by the value of the Reporting Person's Company Securities Funds account in the Issuer's Retirement and Savings Plan is based on a statement dated as of 12/31/09.
|
(
6)
|
Indirect #8: Keith E. Lindner TTEE, MBL Trust C/U Irrevocable Trust Agreement DTD 11/1/82. (c3)
|
(
7)
|
Indirect #12: CHL Investments, LLC (c3)
|
(
8)
|
Indirect #14: CHL III, custodian of a minor. (c3)
|
(
9)
|
Indirect #15: KEL TTEE, MBL Trust C/U Irrevocable Trust Agreement DTD 7/1/83. (c3)
|
(
10)
|
Indirect #21: SCL TTEE MBL Trust Dtd 10/26/05. (c3)
|
(
11)
|
Indirect #22: SCL TTEE GD Trust Dtd 10/26/05. (c3)
|
(
12)
|
Indirect #24: KEL, TTEE Under Irrevocable Trust Agreement with CHL III and MSL, Grantors dated 9/26/1989. (c3)
|
(
13)
|
These Employee Stock Options ("Options") become exercisable as to 20% of the shares initially granted on the first anniversary of the date of grant, with an additional 20% becoming exercisable on each subsequent anniversary. The Options were granted under the Issuer's Stock Option Plan pursuant to Rule 16b-3.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
LINDNER CARL H III
ONE EAST FOURTH STREET
CINCINNATI, OH 45202
|
X
|
|
Co-CEO & Co-President
|
|
Signatures
|
Carl H. Lindner III
By: Karl J. Grafe, as Attorney-in-Fact
|
|
3/26/2010
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
American Financial (NYSE:AFG)
과거 데이터 주식 차트
부터 6월(6) 2024 으로 7월(7) 2024
American Financial (NYSE:AFG)
과거 데이터 주식 차트
부터 7월(7) 2023 으로 7월(7) 2024