-----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, Gu2uAbuYw7GOemcG/nc4hEC+atTkgCz/lixiZNDBAWynAD+I8p6Lw0toivn3CpMJ VOokb6P+AoV4AjCZl7MDLw== 0000950152-07-006994.txt : 20070820 0000950152-07-006994.hdr.sgml : 20070820 20070820151425 ACCESSION NUMBER: 0000950152-07-006994 CONFORMED SUBMISSION TYPE: SC 13E3/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070820 DATE AS OF CHANGE: 20070820 GROUP MEMBERS: CARL H. LINDNER GROUP MEMBERS: CARL H. LINDNER III GROUP MEMBERS: GAFRI ACQUISITION CORP. GROUP MEMBERS: KENNETH C. AMBRECHT GROUP MEMBERS: S. CRAIG LINDNER GROUP MEMBERS: WILLIAM R. MARTIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GREAT AMERICAN FINANCIAL RESOURCES INC CENTRAL INDEX KEY: 0000894651 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE CARRIERS, NEC [6399] IRS NUMBER: 061356481 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13E3/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42992 FILM NUMBER: 071067749 BUSINESS ADDRESS: STREET 1: 250 EAST FIFTH STREET CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 513-333-5300 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN ANNUITY GROUP INC DATE OF NAME CHANGE: 19930519 FORMER COMPANY: FORMER CONFORMED NAME: STI MERGER CO INC DATE OF NAME CHANGE: 19921228 FILED BY: 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: SC 13E3/A 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 SC 13E3/A 1 l26543esc13e3za.htm GREAT AMERICAN FINANCIAL RESOURCES, INC. SC13E3/A GREAT AMERICAN FINANCIAL RESOURCES, INC. SC13E3/A
 

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13E-3
RULE 13e-3 TRANSACTION STATEMENT
(Pursuant to Section 13(e) of the Securities Exchange Act of 1934)
Amendment No. 3
GREAT AMERICAN FINANCIAL RESOURCES, INC.
(Name of the Issuer)
GREAT AMERICAN FINANCIAL RESOURCES, INC.
AMERICAN FINANCIAL GROUP, INC.
GAFRI ACQUISITION CORP.
KENNETH C. AMBRECHT
CARL H. LINDNER
CARL H. LINDNER III
S. CRAIG LINDNER
WILLIAM R. MARTIN
(Name of Person(s) Filing Statement)
Common Stock, $1.00 par value (“GAFRI Common Stock”)
(Title of Class of Securities)
389915019
(CUSIP Number of Class of Securities)
GREAT AMERICAN FINANCIAL RESOURCES, INC.
250 East Fifth Street, 10th Floor
Cincinnati, Ohio 45202
Attention: Mark F. Muething, Esq.
(513) 333-5300
AMERICAN FINANCIAL GROUP, INC.
GAFRI ACQUISITION CORP.
One East Fourth Street
Suite 900
Cincinnati, Ohio 45202
Attention: James C. Kennedy, Esq.
(513) 579-2538
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications on Behalf of the Person(s) Filing Statement)
with copies to:
     
Keating Muething & Klekamp PLL
One East Fourth Street
Suite 1400
Cincinnati, Ohio 45202
Attention: Edward E. Steiner, Esq.
Mark A. Weiss, Esq.
513-579-6400 		  Squire, Sanders & Dempsey L.L.P.
312 Walnut Street
Suite 3500
Cincinnati, Ohio 45202
Attention: Stephen C. Mahon, Esq.
513-361-1200
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications on Behalf of the Person(s) Filing Statement)
This statement is filed in connection with (check appropriate box):
         
þ
  a.   The filing of solicitation materials or an information statement subject to Regulation 14A [17 CFR 240.14a-1 to 240.14b-2], Regulation 14C [17 CFR 240.14c-1 to 240.14c-101] or Rule 13e-3(c) [§240.13e-3(c)] under the Securities Exchange Act of 1934.
 
o
  b.   The filing of a registration statement under the Securities Act of 1933.
 
o
  c.   A tender offer.
 
o
  d.   None of the above.
 
        
    Check the following box if the soliciting materials or information statement referred to in checking box (a) are preliminary copies: þ
 
        
    Check the following box if the filing is a final amendment reporting the results of the transaction: o
Calculation of Filing Fee
           
 
  Transaction     Amount of filing fee  
  valuation* $235,617,707     $7,233.46**  
 
*Set forth the amount on which the filing fee is calculated and state how it was determined.
*  Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11: the filing fee of $7,233.46 was determined based upon the sum of (A) product of 9,208,886 outstanding shares of Common Stock and the merger consideration of $24.50 per share, plus (B) up to $10,000,000 payable in connection with the extinguishing of outstanding options to purchase GAFRI Common Stock (equal to $235,617,707). In accordance with Exchange Act Rule 0-11(c), the filing fee was determined by multiplying 0.00003070 by the sum of (A) and (B) in the preceding sentence.
**Previously paid
     
o
  Check box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify the filing with which the offsetting fee was previously paid. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
         
Amount previously Paid:    
 
       
 
        
Form or Registration No.:    
 
       
 
        
Filing Party:
        
     
 
        
Date Filed:
        
     
 
 

 

Introductory Statement
     This Amendment No. 3 to Rule 13e-3 Transaction Statement (“Amendment No. 3”) is being filed with the Securities and Exchange Commission (the “SEC”) pursuant to Section 13(e) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) by Great American Financial Resources, Inc., a Delaware corporation (“GAFRI“or the “Company”), American Financial Group, Inc., an Ohio corporation (“AFG”), GAFRI Acquisition Corp., a Delaware corporation and wholly-owned subsidiary of AFG (“GAC”), Kenneth C. Ambrecht, Carl H. Lindner, Carl H. Lindner III, S. Craig Lindner and William R. Martin (collectively, the “Filing Persons”). This Amendment No. 3 is a second amendment to the Rule 13e-3 Transaction Statement filed by GAFRI, AFG and GAC on June 14, 2007 (the “Transaction Statement”). Capitalized terms used but not defined in this Amendment No. 3 have the meanings assigned such terms in the Transaction Statement.
     Concurrently with the filing of this Amendment No. 3, GAFRI is filing with the SEC a preliminary proxy statement (the “Proxy Statement”) under Regulation 14A of the Exchange Act, pursuant to which GAFRI’s board of directors (the “Board of Directors”) is soliciting proxies from stockholders of GAFRI in connection with the merger. The Proxy Statement is attached hereto as Exhibit (a)(1). A copy of the Merger Agreement is attached to the Proxy Statement as Appendix A and is incorporated in this Amendment No. 3 by reference. The attached Proxy Statement is in preliminary form and is subject to completion by amendment.
     Pursuant to General Instruction F to Schedule 13E-3, the information in the Proxy Statement, including all exhibits and appendices thereto, is expressly incorporated by reference in this Amendment No. 3 in its entirety, and responses to each item herein are qualified in their entirety by the information contained in the Proxy Statement. The cross references below are being supplied pursuant to General Instruction G to Schedule 13E-3 and show the location in the Proxy Statement of the information required to be included in response to the items of Schedule 13E-3. Capitalized terms used but not defined herein have the meanings assigned to them in the Proxy Statement.
     The items to Schedule 13E-3 set forth in this Amendment No. 3 amend and restate the items presented in the Transaction Statement as previously amended. Items to Schedule 13E-3 not presented in this Amendment No. 3 are incorporated in this Amendment No. 3 in their entirety from the Transaction Statement as previously amended.
     All information contained in, or incorporated by reference into, this Amendment No. 3 concerning each Filing Person was supplied by such Filing Person, and no other Filing Person, including GAFRI, takes responsibility for the accuracy of such information as it relates to any other Filing Person.

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Item 15. Additional Information.
     (b) Other material information. All information set forth in the Proxy Statement, including all appendices to the Proxy Statement, is incorporated by reference.
Item 16. Exhibits.
     (a)(1) Proxy Statement of GAFRI, including the form of proxy card, letter to stockholders and notice of special meeting of stockholders (incorporated by reference to the Proxy Statement).
     (a)(2) Form of Letter of Transmittal (previously filed).
(b) Not applicable.
     (c)(1) Opinion of Cochran Caronia Waller LLC (“CCW”) dated May 17, 2007 (incorporated by referenced to Appendix B to the Proxy Statement).

3

 

     (c)(2) Presentation of CCW to the Special Committee of Independent Directors of the Board of Directors of GAFRI dated May 17, 2007 (previously filed).
     (c)(3) Preliminary Presentation of CCW to the Special Committee of Independent Directors of the Board of Directors of GAFRI dated April 17, 2007 (previously filed).
     (c)(4) Presentation of CCW to the Special Committee of Independent Directors of the Board of Directors of GAFRI dated May 15, 2007 (previously filed).
     (d)(1) Agreement and Plan of Merger, dated as of May 17, 2007, by and among Great American Financial Resources, Inc., American Financial Group, Inc. and GAFRI Acquisition Corp. (incorporated by reference to Appendix A to the Proxy Statement).
     (d)(2) Power of Attorney for Carl H. Lindner, Carl H. Lindner III and S. Craig Lindner (previously filed).
     (d)(3) Power of Attorney for Kenneth C. Ambrecht (previously filed).
     (d)(4) Power of Attorney for William R. Martin (previously filed).
     (f) The information set forth under the following sections of the Proxy Statement is incorporated by reference: “Special Factors—Appraisal Rights” and Appendix C—Section 262 of the Delaware General Corporation Law.

4

 

SIGNATURE
     After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
     
 
  GREAT AMERICAN FINANCIAL RESOURCES, INC.
 
    
August 20, 2007
  /s/ Mark F. Muething
 
   
Date
  Mark F. Muething
 
  Executive Vice President
 
    
 
  AMERICAN FINANCIAL GROUP, INC.
 
    
August 20, 2007
  /s/ James C. Kennedy
 
   
Date
  James C. Kennedy
 
  Vice President
 
    
 
  GAFRI ACQUISITION CORP.
 
    
August 20, 2007
  /s/ James C. Kennedy
 
   
Date
  James C. Kennedy
 
  Vice President
 
    
August 20, 2007
  *
 
   
Date
  Kenneth C. Ambrecht
 
    
August 20, 2007
  *
 
   
Date
  Carl H. Lindner
 
    
August 20, 2007
  *
 
   
Date
  Carl H. Lindner III
 
    
August 20, 2007
  *
 
   
Date
  Carl H. Lindner III

5

 

     
August 20, 2007
  *
 
   
Date
  S. Craig Lindner
 
    
August 20, 2007
  *
 
   
Date
  William R. Martin
             
August 20, 2007
      *By:   /s/ James C. Kennedy
 
           
Date
          James C. Kennedy
 
          Attorney in Fact
 

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