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