0001039828-23-000141.txt : 20230921 0001039828-23-000141.hdr.sgml : 20230921 20230921192551 ACCESSION NUMBER: 0001039828-23-000141 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230920 FILED AS OF DATE: 20230921 DATE AS OF CHANGE: 20230921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bhalla Anant CENTRAL INDEX KEY: 0001709369 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31911 FILM NUMBER: 231269985 MAIL ADDRESS: STREET 1: 11225 NORTH COMMUNITY HOUSE ROAD CITY: CHARLOTTE STATE: NC ZIP: 28277 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN EQUITY INVESTMENT LIFE HOLDING CO CENTRAL INDEX KEY: 0001039828 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 421447959 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6000 WESTOWN PARKWAY CITY: WEST DEMOINES STATE: IA ZIP: 50266 BUSINESS PHONE: 5152210002 MAIL ADDRESS: STREET 1: 6000 WESTOWN PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 4 1 wk-form4_1695338736.xml FORM 4 X0508 4 2023-09-20 0 0001039828 AMERICAN EQUITY INVESTMENT LIFE HOLDING CO AEL 0001709369 Bhalla Anant 6000 WESTOWN PARKWAY WEST DES MOINES IA 50266 1 1 0 0 CEO & President 0 Common Stock 2023-09-20 4 M 0 139279 27.05 A 1167413 D Common Stock 2023-09-20 4 M 0 43923 26.72 A 1211336 D Common Stock 2023-09-20 4 S 0 183202 54.0453 D 1028134 D Common Stock 2075 I By ESOP Options - Right to Buy 27.05 2023-09-20 4 M 0 139279 0 D 2022-01-02 2030-11-19 Common Stock 139279 0 D Options - Right to Buy 26.72 2023-09-20 4 M 0 43923 0 D 2022-01-04 2031-01-04 Common Stock 43923 43524 D This transaction was executed in multiple trades at prices ranging from $54.00 to $54.235. 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. Fifty percent (50%) of the option award granted vested on January 2, 2022, upon the performance of certain company objectives. The remaining fifty percent (50%) of the option award vested on the one year anniversary of the vesting of the initial fifty percent (50%) of the option award. Fifty percent (50%) of the option award granted vested on January 4, 2022, upon the performance of certain company objectives. The remaining fifty percent (50%) of the option award vested on the one year anniversary of the vesting of the initial fifty percent (50%) of the option award. /s/ Mark A. Schuman, authorized signer 2023-09-21