0001039828-23-000149.txt : 20230925 0001039828-23-000149.hdr.sgml : 20230925 20230925185413 ACCESSION NUMBER: 0001039828-23-000149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230921 FILED AS OF DATE: 20230925 DATE AS OF CHANGE: 20230925 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lorenzen Jeffrey D CENTRAL INDEX KEY: 0001353991 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31911 FILM NUMBER: 231276896 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_1695682443.xml FORM 4 X0508 4 2023-09-21 0 0001039828 AMERICAN EQUITY INVESTMENT LIFE HOLDING CO AEL 0001353991 Lorenzen Jeffrey D 6000 WESTOWN PARKWAY WEST DES MOINES IA 50266 0 1 0 0 Executive VP-Chief Inv Officer 0 Common Stock 2023-09-21 4 M 0 11299 31.63 A 62975 D Common Stock 2023-09-21 4 M 0 15755 27.40 A 78730 D Common Stock 2023-09-21 4 M 0 49565 27.05 A 128295 D Common Stock 2023-09-21 4 S 0 76619 53.8454 D 51676 D Common Stock 2023-09-21 4 S 0 20776 53.8742 D 30900 D Common Stock 14045 I By ESOP Options - Right to Buy 31.63 2023-09-21 4 M 0 11299 0 D 2022-06-02 2031-06-02 Common Stock 11299 0 D Options - Right to Buy 27.40 2023-09-21 4 M 0 15755 0 D 2022-02-25 2031-02-25 Common Stock 15755 7877 D Options - Right to Buy 27.05 2023-09-21 4 M 0 49565 0 D 2022-01-02 2030-11-19 Common Stock 49565 0 D This transaction was executed in multiple trades at prices ranging from $53.74 to $53.91. 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. This transaction was executed in multiple trades at prices ranging from $53.83 to $53.92. 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. Fifty percent (50%) of the option award granted vested on June 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. 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 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 2023-09-25