-----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, KYShIJLx0YOHdRUEECNoBy0T0Lg+sKsf4SaQiLcIjXuV8nGUB6ACvE20mTFT9wAr tgA0P5afvwlurmiZedIsdw== 0001042046-01-000005.txt : 20010206 0001042046-01-000005.hdr.sgml : 20010206 ACCESSION NUMBER: 0001042046-01-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010205 SUBJECT COMPANY: 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: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52601 FILM NUMBER: 1525080 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN FINANCIAL GROUP INC RETIREMENT & SAVINGS PLAN/ CENTRAL INDEX KEY: 0000943719 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE EAST FOURTH STREET STREET 2: SUITE 919 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5135792540 MAIL ADDRESS: STREET 1: ONE EAST FOURTH STREET STREET 2: SUITE 919 CITY: CINCINNATI STATE: OH ZIP: 45202 FORMER COMPANY: FORMER CONFORMED NAME: AFC ESORP PLAN DATE OF NAME CHANGE: 19950410 SC 13G/A 1 0001.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------- SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 5) American Financial Group, Inc. ------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value ------------------------------------------------------------------- (Title of Class of Securities) 025932 10 4 ------------------------------------------------------------------- (CUSIP Number) James C. Kennedy, Esq. One East Fourth Street Cincinnati, Ohio 45202 (513) 579-2538 ------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Page 1 of 5 Pages CUSIP NO. 025932 10 4 13G/A Page 2 of 5 Pages 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS The Administrative Plan Committee of The American Financial Group, Inc. Retirement and Savings Plan 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Ohio 5 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: SOLE VOTING POWER 7,706,141 shares (See Item 2) 6 SHARED VOTING POWER - - - 7 SOLE DISPOSITIVE POWER 7,706,141 Shares (See Item 2) 8 SHARED DISPOSITIVE POWER - - - 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON, 7,706,141 Shares (See Item 2) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.7% 12 TYPE OF REPORTING PERSON* EP CUSIP NO. 025932 10 4 13G/A Page 3 of 5 Pages Item 1(a). Name of Issuer. American Financial Group, Inc. Item 1(b). Address of Issuer's Principal Executive Office. One East Fourth Street, Cincinnati, Ohio 45202 Item 2(a). Name of Person Filing. The Administrative Plan Committee of The American Financial Group, Inc. Retirement and Savings Plan Item 2(b). Address of Principal Business Office or, if None, Residence. One East Fourth Street, Cincinnati, Ohio 45202 Item 2(c). Citizenship. Not Applicable Item 2(d). Title of Class of Securities. Common Stock, no par value Item 2(e). Cusip Number. 025932 10 4 Item 3. This statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) and the person filing is an Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund. CUSIP NO. 025932 10 4 13G/A Page 4 of 5 Pages Item 4. Ownership. (a) Amount Beneficially Owned: 7,706,141 (b) Percentage of Class: 11.7% (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 7,706,141 (ii) Shared power to vote or direct the vote: none (iii) Sole power to dispose or direct the disposition of: 7,706,141 (iv) Shared power to dispose or direct the disposition of: none Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. After reasonable inquiry and to the best knowledge and belief of the undersigned, it is hereby certified that the information set forth in this statement is true, complete and correct. Dated: February 5, 2001 The Administrative Plan Committee of The American Financial Group, Inc. Retirement and Savings Plan By: Sandra W. Heimann * ----------------------------------- Sandra W. Heimann, Member By: Thomas E. Mischell* ----------------------------------- Thomas E. Mischell, Member Karl J. Grafe - ---------------------- * By Karl J. Grafe, Attorney-in-Fact pursuant to authority granted in the Powers of Attorney attached hereto as Exhibit 1. CUSIP NO. 025932 10 4 13G/A Page 5 of 5 Pages Exhibit 1 POWER OF ATTORNEY I, Sandra W. Heimann, do hereby appoint James C. Kennedy and Karl J. Grafe, or either of them, as my true and lawful attorneys-in-fact to sign on my behalf individually and as a member of the The Administrative Plan Committee of The American Financial Group, Inc. Retirement and Savings Plan (the "Plan Committee") and to file with the Securities and Exchange Commission any schedules or other filings or amendments thereto made by me or on behalf of the Plan Committee pursuant to Sections 13(d), 13(f), 13(g), and 14(d) of the Securities and Exchange Act of 1934, as amended. IN WITNESS WHEREOF, I have hereunto set my hand at Cincinnati, Ohio as of the 5th day of November, 1997. /s/ Sandra W. Heimann -------------------------------- Sandra W. Heimann POWER OF ATTORNEY I, Thomas E. Mischell, do hereby appoint James C. Kennedy and Karl J. Grafe, or either of them, as my true and lawful attorneys-in-fact to sign on my behalf individually and as a member of the The Administrative Plan Committee of The American Financial Group, Inc. Retirement and Savings Plan (the "Plan Committee") and to file with the Securities and Exchange Commission any schedules or other filings or amendments thereto made by me or on behalf of the Plan Committee pursuant to Sections 13(d), 13(f), 13(g), and 14(d) of the Securities and Exchange Act of 1934, as amended. IN WITNESS WHEREOF, I have hereunto set my hand at Cincinnati, Ohio as of the 5th day of November, 1997. /s/ Thomas E. Mischell -------------------------------- Thomas E. Mischell -----END PRIVACY-ENHANCED MESSAGE-----