Statement of Changes in Beneficial Ownership (4)
26 Februar 2022 - 12:29AM
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
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person *
Grensteiner Ronald James |
2. Issuer Name and Ticker or Trading
Symbol AMERICAN EQUITY INVESTMENT LIFE HOLDING CO [ AEL
] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Executive Vice President |
(Last)
(First)
(Middle)
6000 WESTOWN PARKWAY |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/23/2022
|
(Street)
WEST DES MOINES, IA 50266
(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 |
2/23/2022 |
|
S |
|
10894 |
D |
$36.0278 (1) |
112509 |
D |
|
Common Stock |
2/23/2022 |
|
A |
|
3390 (2) |
A |
$0 |
115899 |
D |
|
Common Stock |
|
|
|
|
|
|
|
14199 (3) |
I |
By ESOP |
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 |
Explanation of
Responses: |
(1) |
This transaction was
executed under a 10b5-1 plan put in place by the executive for
financial planning purposes. The 10b5-1 plan triggered multiple
trades at prices ranging from $35.66 to $36.49. The price reported
in column 4 is an average price. The reporting person hereby
undertakes to provide upon request to the SEC staff, the issuer or
a security holder of the issuer full information regarding the
number of shares sold and the prices at which the transactions were
settled. |
(2) |
Time based restricted stock
units awarded under the American Equity Investment Life Holding
Company Amended and Restated Equity Incentive Plan that vest on the
third anniversary of the date of grant. |
(3) |
Reflects ESOP allocations
that have occurred since the date of the reporting person's last
ownership report. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Grensteiner Ronald James
6000 WESTOWN PARKWAY
WEST DES MOINES, IA 50266 |
|
|
Executive Vice President |
|
Signatures
|
/s/ Mark A. Schuman, authorized
signer |
|
2/25/2022 |
**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 Equity Investme... (NYSE:AEL-B)
Historical Stock Chart
Von Mai 2022 bis Jun 2022
American Equity Investme... (NYSE:AEL-B)
Historical Stock Chart
Von Jun 2021 bis Jun 2022