-----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, Ov2H/ib/wnejuX76Qz2PwmS9Ou2yYAyQkQtaK+1y5eNbmYP62zdANT1ZGOPXAn2s 8h2/gScIsG/P3FkMdDsTlg== 0001209191-10-045287.txt : 20100907 0001209191-10-045287.hdr.sgml : 20100906 20100907162631 ACCESSION NUMBER: 0001209191-10-045287 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100902 FILED AS OF DATE: 20100907 DATE AS OF CHANGE: 20100907 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: 101060275 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: 1208 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 doc4.xml FORM 4 SUBMISSION X0303 4 2010-09-02 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 2010-06-16 4 G 0 5060 0.00 D 2767124 I #1 Common Stock 2010-06-21 4 G 0 1732 0.00 D 2765392 I #1 Common Stock 2010-09-02 4 M 0 48400 12.30 A 2813792 I #1 Common Stock 2010-09-02 4 S 0 48400 29.245 D 2765392 I #1 Common Stock 2010-09-03 4 M 0 34100 12.30 A 2799492 I #1 Common Stock 2010-09-03 4 S 0 34100 29.5246 D 2765392 I #1 Common Stock 35859 I #2 Common Stock 0 I #4 Common Stock 0 I #8 Common Stock 1468500 I #12 Common Stock 0 I #15 Common Stock 176166 I #21 Common Stock 113019 I #22 Common Stock 2671 I #24 Common Stock 221659 I #25 Common Stock 1960242 I #26 Employee Stock Option Exercise 12.30 2010-09-02 4 M 0 48400 0.00 D 2013-02-23 Common Stock 48400 34100 D Employee Stock Option Exercise 12.30 2010-09-03 4 M 0 34100 0.00 D 2013-02-23 Common Stock 34100 0 D On 6/30/2010 Indirect #12 transfered 39,758 shares of Company Common stock to Direct #1. Indirect #1: CHL III, TTEE (or his Successors) of the Carl H. Lindner III Family Trust DTD 8/29/02 as Amended. (c3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.15 to $29.58, inclusive. The reporting person undertakes to provide to American Financial Group, Inc., ("AFG"), any security holder of AFG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.44 to $29.62, inclusive. Indirect #2: Martha S. Lindner, (or her Successor) o the Martha S. Lindner Family Trust DTD 8/30/02 as amended. (c3) Indirect #4: The Company's Retirement and Savings Plans. The number of shares of Common Stock which would be represented by the value of the Reporting Person's Company Securities Funds account in the Issuer's Retirement and Savings Plan is based on a statement dated as of 12/31/09. Indirect #8: Keith E. Lindner TTEE, MBL Trust C/U Irrevocable Trust Agreement DTD 11/1/82. (c3) Indirect #12: CHL Investments, LLC (c3) Indirect #15: KEL TTEE, MBL Trust C/U Irrevocable Trust Agreement DTD 7/1/83. (c3) Indirect #21: Doug Marcian, TTEE MBL Trust Dtd 10/26/05. (c3) Indirect #22: Doug Marcian, TTEE GD Trust Dtd 10/26/05. (c3) Indirect #24: KEL, TTEE Under Irrevocable Trust Agreement with CHL III and MSL, Grantors dated 9/26/1989. (c3) Indirect #25: Lou Ann Flint TTEE MBL 2009 Consolidation Trust DTD 12/22/09. Indirect #26: CHL III 2010-1 Qualified Annuity Trust DTD 4/9/10. 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. Carl H. Lindner III By: Karl J. Grafe, as Attorney-in-Fact 2010-09-07 -----END PRIVACY-ENHANCED MESSAGE-----