Filing Details

Accession Number:
0001039828-23-000137
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-09-20 21:14:45
Reporting Period:
2023-09-18
Accepted Time:
2023-09-20 21:14:45
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1039828 American Equity Investment Life Holding Co AEL Life Insurance (6311) 421447959
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1709369 Anant Bhalla 6000 Westown Parkway
West Des Moines IA 50266
Ceo & President Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2023-09-18 64,164 $27.40 1,092,298 No 4 M Direct
Common Stock Acquisiton 2023-09-18 12,133 $27.05 1,104,431 No 4 M Direct
Common Stock Disposition 2023-09-18 76,297 $54.12 1,028,134 No 4 S Direct
Common Stock Acquisiton 2023-09-19 92,638 $27.05 1,120,772 No 4 M Direct
Common Stock Disposition 2023-09-19 92,638 $54.12 1,028,134 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Options - Right to Buy Disposition 2023-09-18 64,164 $0.00 64,164 $27.40
Common Stock Options - Right to Buy Disposition 2023-09-18 12,133 $0.00 12,133 $27.05
Common Stock Options - Right to Buy Disposition 2023-09-19 92,638 $0.00 92,638 $27.05
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
32,082 2022-02-25 2031-02-25 No 4 M Direct
231,917 2022-01-02 2030-11-19 No 4 M Direct
139,279 2022-01-02 2030-11-19 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,075 Indirect By ESOP
Footnotes
  1. This transaction was executed in multiple trades at prices ranging from $54.11 to $54.17. The price reported in column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares sold and the prices at which the transactions were settled.
  2. This transaction was executed in multiple trades at prices ranging from $54.10 to $54.17. The price reported in column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares sold and the prices at which the transactions were settled.
  3. An award of stock options pursuant to the American Equity Investment Life Holding Company Amended and Restated Equity Incentive Plan, 1/3 of which vested one year from date of grant, 1/3 vested two years from date of grant, and the remaining 1/3 will vest three years from date of grant. One-half of these options became exercisable on February 25, 2022, and the other half became exercisable on February 25, 2023.
  4. Fifty percent (50%) of the option award granted vested on January 2, 2022, upon the performance of certain company objectives. The remaining fifty percent (50%) of the option award vested on the one year anniversary of the vesting of the initial fifty percent (50%) of the option award.