0001039828-23-000145.txt : 20230922 0001039828-23-000145.hdr.sgml : 20230922 20230922142330 ACCESSION NUMBER: 0001039828-23-000145 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230921 FILED AS OF DATE: 20230922 DATE AS OF CHANGE: 20230922 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Andre Axel CENTRAL INDEX KEY: 0001881905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31911 FILM NUMBER: 231271236 MAIL ADDRESS: STREET 1: 6000 WESTOWN PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 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_1695407001.xml FORM 4 X0508 4 2023-09-21 0 0001039828 AMERICAN EQUITY INVESTMENT LIFE HOLDING CO AEL 0001881905 Andre Axel 6000 WESTOWN PARKWAY WEST DES MOINES IA 50266 0 1 0 0 Chief Financial Officer 0 Common Stock 2023-09-21 4 M 0 29273 32.35 A 43013 D Common Stock 2023-09-21 4 S 0 29273 53.8743 D 13740 D Common Stock 813 I By ESOP Options - Right to Buy 32.35 2023-09-21 4 M 0 29273 0 D 2022-09-07 2031-09-07 Common Stock 29273 14636 D This transaction was executed in multiple trades at prices ranging from $53.745 to $53.98. The price reported in column 4 is an 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. Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report. 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. One-half of these options became exercisable on September 7, 2022, and the other half became exercisable on September 07, 2023. /s/ Mark A. Schuman, authorized signer 2023-09-22