-----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, C4dKMGGO/9hi/iukaXwck+jfTG80b2G9F4RIwvZw14t/GsroL1PM9CuNsENNlHFV UT18YrZhPNj01zN4rmjQPg== 0001042046-03-000208.txt : 20031120 0001042046-03-000208.hdr.sgml : 20031120 20031120161011 ACCESSION NUMBER: 0001042046-03-000208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20030508 FILED AS OF DATE: 20031120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINDNER CARL H III CENTRAL INDEX KEY: 0000942082 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13653 FILM NUMBER: 031015690 BUSINESS ADDRESS: STREET 1: 14TH FLOOR PROVIDENT TOWER STREET 2: ONE EAST FOURTH STREET CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5155792540 MAIL ADDRESS: STREET 1: 14TH FLOOR PROVIDENT TOWER STREET 2: ONE EAST FOURTH STREET CITY: CINCINNATI STATE: OH ZIP: 45202 ISSUER: 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 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-05-08 0 0001042046 AMERICAN FINANCIAL GROUP INC AFG 0000942082 LINDNER CARL H III 580 WALNUT STREET 11TH FLOOR CINCINNATI OH 45202 1 1 0 0 Co-President Common Stock 2003-05-08 5 G 0 E 4440 0 D 3279864 I #1 Common Stock 2003-05-12 5 G 0 E 17335 0 D 3262529 I #1 Common Stock 2003-08-29 5 G 0 E 10915 0 D 3251614 I #1 Common Stock 2003-11-20 5 G 0 E 11065 0 D 3240549 I #1 Common Stock 19826 I #2 Common Stock 1470.98 I #4 Common Stock 509873 I #5 Common Stock 81219 I #6 Common Stock 19847 I #8 Common Stock 19847 I #9 Common Stock 19847 I #10 Common Stock 922074 I #11 Common Stock 1000000 I #12 Common Stock 19847 I #13 See Exhibit 99 where Indirect Holdings are defined. Karl J. Grafe, Attorney-in-Fact for Carl H. Lindner III 2003-11-20 EX-99 3 c3exhibit-99.htm INDIRECT HOLDINGS EXHIBIT 99

EXHIBIT 99

 
 

 

 

INDIRECT HOLDINGS HELD IN THE NAME OF:

  

NUMBER OF SHARES HELD AFTER TRANSACTIONS
       
       

#1

Carl H. Lindner III For the Second Amended & Restated Carl H. Lindner III Family Trust dated 3-11-94.

  

3,240,549
       

#2

Martha S. Lindner (Spouse), Trustee For the Second Amended & Restated Martha S. Lindner Family Trust dated 3-11-94.

  

19,826
       

#3

Martha S. Lindner (Spouse).

  

-0-
       

#4

Allocated to the Reporting Person's account in the Issuer's Retirement and Savings Plan ("401(k) Plan"), based on a 401(k) Plan statement dated as of 12/31/01.

  

1,470.98
       

#5

Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III dated 11-1-82.

  

509,873
       

#6

Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III dated 7-1-83.

  

81,219
       

#7

Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III and Martha S. Lindner dated 10-23-84.

  

-0-
       

#8

Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III and Martha S. Lindner dated 10-23-84.

  

19,847
       

#9

Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III and Martha S. Lindner dated 8-23-85.

  

19,847
       

#10

Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III and Martha S. Lindner dated 9-26-89.

  

19,847
       

#11

Carl H. Lindner III Trustee of the Carl H. Lindner III 1997-1 Qualified Annuity Trust dated January 16, 1997.

  

922,074
       

#12

CHL Investments, LLC, a limited liability company directly or indirectly wholly-owned by the Reporting Person.

  

1,000,000
       

#13

Blake B. Lindner.

 

19,847

 

On 7/14/2003, Indirect #11 transferred 161,511 shares of Common Stock to Indirect #1.

On 10/6/2003, Indirect #11 transferred 168,518 shares of Common Stock to Indirect #1.

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