-----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, PEqKixNrBG79PIMycgse1GTRUlemTS53+5rOnNkq+uuCCLPeoLXUJoR6yLuBb2+c jql5JimfkgbLd3SnkIZiQQ== 0001209191-06-061990.txt : 20061130 0001209191-06-061990.hdr.sgml : 20061130 20061130134819 ACCESSION NUMBER: 0001209191-06-061990 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061129 FILED AS OF DATE: 20061130 DATE AS OF CHANGE: 20061130 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 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: 061247714 BUSINESS ADDRESS: BUSINESS PHONE: 5155792540 MAIL ADDRESS: STREET 1: 14TH FLOOR PROVIDENT TOWER STREET 2: ONE EAST FOURTH STREET CITY: CINCINNATI STATE: OH ZIP: 45202 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2006-11-29 0 0001042046 AMERICAN FINANCIAL GROUP INC AFG 0000942082 LINDNER CARL H III ONE EAST FOURTH STREET CINCINNATI OH 45202 1 1 0 0 Co-CEO & Co-President Common Stock 0 D Common Stock 2006-11-20 5 G 0 E 9553 0.00 D 1791732 I #1 Common Stock 2006-11-29 4 M 0 50000 37.88 A 1841732 I #1 Common Stock 2006-11-29 4 M 0 40000 42.06 A 1881732 I #1 Common Stock 2006-11-29 4 M 0 22579 35.69 A 1904311 I #1 Common Stock 2006-11-29 4 F 0 83870 52.25 D 1820441 I #1 Common Stock 21117 I #2 Common Stock 14878.2 I #4 Common Stock 509873 I #5 Common Stock 81219 I #6 Common Stock 22468 I #10 Common Stock 979000 I #12 Common Stock 1584 I #14 Common Stock 22478 I #15 Common Stock 2351835 I #18 Employee Stock Option 37.88 2006-11-29 4 M 0 50000 A 2007-03-14 Common Stock 50000 0 D Employee Stock Option 42.06 2006-11-29 4 M 0 40000 A 2009-03-20 Common Stock 40000 0 D Employee Stock Option 35.69 2006-11-29 4 M 0 22579 A 2009-02-26 Common Stock 22579 27421 D On October 5, 2006, Indirect #18 transferred to Indirect #1 155,993 shares of the Issuer's Common Stock. Indirect #1 By Carl H. Lindner III, For the Second Amended & Restated Carl H. Lindner III Family Trust Dated 3/11/94. Indirect #2 By Marth S. Lindner (Spouse), Trustee for the Second Amended and Restated Marth A. Lindner Family Trust dated 3/11/94. Indirect #4 The Company Retirement and Savings Account. the number of shares of common Stock which would be represented by the value fo the Reporting Person's Company Securities funds account in the Issuer's Reitrement and Savings Plan is based on a statement dated as of 12/31/2005 Indirect #5: By Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III dated 11/1/82. Indirect #6: By Keith E. Lindner, Trustee under an Irrevocable Trust Indenture with Carl H. Lindner III dated 7/1/83. Indirect #10: By Keith E. Lindner, Trustee under an irrevocable Trust indenture with Carl H. Lindner III and Martha S. Lindner dated 9/26/89. Indirect #12: CHL Investments, LLC, a limited liability company directly or indirectly wholly-owned by the Reporting Person. Indirect #14: Carl H. Lindner III, Custodian of a minor. Indirect #15: Son of a Reporting Person Indirect #18: CHL III, TTEE of the CHL III 2005-1 Qualified Annuity Trust dated 10/26/2005. 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. The Reporting Person exercised this stock option using previously held shares of the Issuer. Carl H. Lindner III by: Karl J. Grafe, Attorney-in-Fact 2006-11-30 -----END PRIVACY-ENHANCED MESSAGE-----