-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DD3RQf4Xenw9XCAOkq/AYfwEMT8TRnTH1gWb8QlIGl9PcS1ONmXs6eoS6o941baZ IMCAIKrEgUggeX0qeqGxsw== 0000892251-02-000160.txt : 20020813 0000892251-02-000160.hdr.sgml : 20020813 20020813164338 ACCESSION NUMBER: 0000892251-02-000160 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020812 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20020813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN FINANCIAL GROUP INC CENTRAL INDEX KEY: 0001042046 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 311544320 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-13653 FILM NUMBER: 02730227 BUSINESS ADDRESS: STREET 1: ONE EAST FOURTH STREET STREET 2: SUITE 919 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5135792121 MAIL ADDRESS: STREET 1: ONE EAST FOURTH STREET STREET 2: SUITE 919 CITY: CINCINNATI STATE: OH ZIP: 45202 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN FINANCIAL GROUP HOLDINGS INC DATE OF NAME CHANGE: 19970709 8-K 1 form8k081202.htm FORM 8-K Form 8-K

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): August 12, 2002

AMERICAN FINANCIAL GROUP, INC.

(Exact name of registrant as specified in its charter)

   Ohio   
(State or other
jurisdiction of
incorporation)

    1-13653    
(Commission File No.)

   31-1544320   
(IRS Employer
Identification No.)



One East Fourth Street, Cincinnati, Ohio 45202

(Address of principal executive offices) (Zip Code)
(513) 579-2121

(Registrant's telephone number, including area code)

     The information in this Current Report on Form 8-K, including the exhibits, is furnished pursuant to Item 9 and shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities under that Section. Furthermore, the information in this Current Report on Form 8-K, including the exhibits, shall not be deemed to be incorporated by reference into the filings of American Financial Group, Inc. under the Securities Act of 1933.

Item 7. Financial Statements and Exhibits.

     (c) Exhibits

     99(a) Statement Under Oath, dated August 8, 2002, of Carl H. Lindner, principal executive officer of the Registrant.

     99(b) Statement Under Oath, dated August 8, 2002, of Fred J. Runk, principal financial officer of the Registrant.

Item 9. Regulation FD Disclosure.

     On August 12, 2002, the Registrant’s principal executive officer and principal financial officer filed sworn statements with the Securities and Exchange Commission with respect to certain of the Registrant’s reports filed with the Commission. Copies of the statements are furnished herewith as exhibits 99(a) and 99(b), respectively.

SIGNATURES

     Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.





Date: August 13, 2002

AMERICAN FINANCIAL GROUP, INC.



By: /s/ James C. Kennedy                    
Name: James C. Kennedy
Title: Vice President, Deputy General Counsel & Secretary

EX-99 3 ex99lindner.htm STATE OF OATH - CARL H. LINDNER Exhibit 99(a)
EXHIBIT 99(a)

August 8, 2002
VIA OVERNIGHT MAIL

Jonathan G. Katz, Secretary
Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, DC 20549

STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER AND PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS

I, Carl H. Lindner, principal executive officer, state and attest that:

(1)

To the best of my knowledge, based upon a review of the covered reports of American Financial Group, Inc. (Commission No. 1-13653), and, except as corrected or supplemented in a subsequent covered report:


     • no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and

     • no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).

(2)

I have reviewed the contents of this statement with the Company's audit committee.


(3)

In this statement under oath, each of the following, if filed on or before the date of this statement, is a “covered report”:


     • the Annual Report on Form 10-K for the fiscal year ended December 31, 2001 filed with the Commission of American Financial Group, Inc.

     • all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of American Financial Group, Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and

     • any amendments to any of the foregoing.

     /s/ Carl H. Lindner      
Name: Carl H. Lindner
Date: August 8, 2002

Subscribed and sworn to before me this
8th day of August, 2002.
/s/ Nancy Sherman         
Notary Public
My Commission Expires:
July 30, 2007

EX-99 4 ex99runk.htm STATEMENT OF OATH - FRED J. RUNK Exhibit 99(a)
EXHIBIT 99(a)

August 8, 2002
VIA OVERNIGHT MAIL

Jonathan G. Katz, Secretary
Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, DC 20549

STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER AND PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS

I, Fred J. Runk, principal financial officer, state and attest that:

(1)

To the best of my knowledge, based upon a review of the covered reports of American Financial Group, Inc. (Commission No. 1-13653), and, except as corrected or supplemented in a subsequent covered report:


     • no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and

     • no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).

(2)

I have reviewed the contents of this statement with the Company's audit committee.


(3)

In this statement under oath, each of the following, if filed on or before the date of this statement, is a “covered report”:


     • the Annual Report on Form 10-K for the fiscal year ended December 31, 2001 filed with the Commission of American Financial Group, Inc.

     • all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of American Financial Group, Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and

     • any amendments to any of the foregoing.

     /s/ Fred J. Runk      
Name: Fred J. Runk
Date: August 8, 2002

Subscribed and sworn to before me this
8th day of August, 2002.
/s/ James C. Kennedy         
Notary Public
My Commission Expires:
Attorney-at-Law Notary Public
State of Ohio - No Expiration Date
Section 147.03 O.R.C.

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