Statement of Changes in Beneficial Ownership (4)
March 01 2021 - 3:54PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Lorenzen Jeffrey D |
2. Issuer Name and Ticker or Trading Symbol
AMERICAN EQUITY INVESTMENT LIFE HOLDING CO
[
AEL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP-Chief Risk Officer |
(Last)
(First)
(Middle)
6000 WESTOWN PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2021 |
(Street)
WEST DES MOINES, IA 50266
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/25/2021 | | A | | 6721 (1) | A | $0 | 59214 | D | |
Common Stock | 2/27/2021 | | F | | 945 | D | $27.63 | 58269 | D | |
Common Stock | 2/27/2021 | | A | | 16001 (2) | A | $0 | 74270 | D | |
Common Stock | 2/27/2021 | | F | | 4856 | D | $27.63 | 69414 | D | |
Common Stock | | | | | | | | 12496 (3) | I | By ESOP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Options - Right to Buy | $27.4 | 2/25/2021 | | A | | 23632 | | 2/25/2022 (4) | 2/25/2031 | Common Stock | 23632.0 | $0 | 73197 | D | |
Explanation of Responses: |
(1) | Time based restricted stock units awarded under the American Equity Investment Life Holding Company Amended and Restated Equity Incentive Plan that vest on the third anniversary of the date of grant. |
(2) | Performance based restricted stock units that vested and converted into shares of common stock under the American Equity Investment Life Holding Company Amended and Restated Equity Incentive Plan. |
(3) | Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report. |
(4) | An award of stock options pursuant to the American Equity Investment Life Holding Company Amended and Restated Equity Incentive Plan, 1/3 of which vest one year from date of grant; 1/3 vest two years from date of grant and 1/3 vest three years from date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lorenzen Jeffrey D 6000 WESTOWN PARKWAY WEST DES MOINES, IA 50266 |
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| EVP-Chief Risk Officer |
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Signatures
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Renee D. Montz, by Power of Attorney | | 3/1/2021 |
**Signature of Reporting Person | Date |
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