0001039828-23-000137.txt : 20230920
0001039828-23-000137.hdr.sgml : 20230920
20230920211445
ACCESSION NUMBER: 0001039828-23-000137
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230918
FILED AS OF DATE: 20230920
DATE AS OF CHANGE: 20230920
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bhalla Anant
CENTRAL INDEX KEY: 0001709369
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31911
FILM NUMBER: 231267630
MAIL ADDRESS:
STREET 1: 11225 NORTH COMMUNITY HOUSE ROAD
CITY: CHARLOTTE
STATE: NC
ZIP: 28277
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AMERICAN EQUITY INVESTMENT LIFE HOLDING CO
CENTRAL INDEX KEY: 0001039828
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 421447959
STATE OF INCORPORATION: IA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 6000 WESTOWN PARKWAY
CITY: WEST DEMOINES
STATE: IA
ZIP: 50266
BUSINESS PHONE: 5152210002
MAIL ADDRESS:
STREET 1: 6000 WESTOWN PARKWAY
CITY: WEST DES MOINES
STATE: IA
ZIP: 50266
4
1
wk-form4_1695258875.xml
FORM 4
X0508
4
2023-09-18
0
0001039828
AMERICAN EQUITY INVESTMENT LIFE HOLDING CO
AEL
0001709369
Bhalla Anant
6000 WESTOWN PARKWAY
WEST DES MOINES
IA
50266
1
1
0
0
CEO & President
0
Common Stock
2023-09-18
4
M
0
64164
27.40
A
1092298
D
Common Stock
2023-09-18
4
M
0
12133
27.05
A
1104431
D
Common Stock
2023-09-18
4
S
0
76297
54.1183
D
1028134
D
Common Stock
2023-09-19
4
M
0
92638
27.05
A
1120772
D
Common Stock
2023-09-19
4
S
0
92638
54.121
D
1028134
D
Common Stock
2075
I
By ESOP
Options - Right to Buy
27.40
2023-09-18
4
M
0
64164
0
D
2022-02-25
2031-02-25
Common Stock
64164
32082
D
Options - Right to Buy
27.05
2023-09-18
4
M
0
12133
0
D
2022-01-02
2030-11-19
Common Stock
12133
231917
D
Options - Right to Buy
27.05
2023-09-19
4
M
0
92638
0
D
2022-01-02
2030-11-19
Common Stock
92638
139279
D
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.
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.
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.
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.
/s/ Mark A. Schuman, authorized signer
2023-09-20