4 1 kelfrm42002b.htm KEITH E. LINDNER, PROVIDENT FORM 4, 9/5/02 FORM 4

FORM 4


U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utilities
Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940

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(Print or Type Responses)                                                                                       Last Report Filed: August, 2002

1.  Name and Address of Reporting Person

  Lindner          Keith                 E.

2.  Issuer Name and Ticker or Trading Symbol

  PROVIDENT FINANCIAL GROUP, INC. (PFGI)

  6.  Relationship of Reporting Person to Issuer
               (Check all applicable)

(Last)                   (First)                  (Middle)

 

  One East Fourth Street

3. IRS Identification,
  Number of Reporting
  Person, if an entity (Voluntary)

4. Statement for
   Month/Day/Year

 September 5, 2002

    Director

  X  10% Owner


    Officer (give
     title below)


     Other (specify
           below)

(Street)

 

  Cincinnati,         Ohio           45202

   

5. If Amendment,
   Date of Original
   (Month/Day/Year)

                          

7. Individual or Joint/Group Filing (Check Applicable Line)
 X Form filed by One Reporting Person
    Form filed by More than One Reporting Person

   (City)                    (State)                     (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned

1.  Title of Security
     (Instr. 3)

2. Trans-
action
Date

2A.
Deemed
Execution
Date, if
any

3. Trans-
action
Code
(Instr. 8)

4.  Securities Acquired (A)
or Disposed of (D)
(Instr. 3,4 and 5)

5. Amount of
Securities
Beneficially
Owned

6. Owner-
ship
Form:
Direct

7. Nature
of In-
Direct
Bene-

   

(Month/
Day/
Year)

(Month/
Day/
Year)



Code



V



Amount


(A) or
(D)



Price

Following
Reported
Transactions
(Instr. 3 and 4)

(D) or
Indirect
(I)
(Instr. 4)

Ficial
Owner-
ship
(Instr. 4)

Common Stock

   

   

   

   

   

   

   

-0-(a)

D

   

Common Stock

   

   

   

   

   

   

   

-0-

I

#1

Common Stock

9/5/02

   

G

V

12,000

D

N/A

1,901,099(a)

I

#2

Common Stock

   

   

   

   

   

   

   

20,208

I

#3

Common Stock

   

   

   

   

   

   

   

168,750

I

#4

Common Stock

   

   

   

   

   

   

   

171,631

I

#5

Common Stock

   

   

   

   

   

   

   

6,269,214

I

#6

Common Stock

   

   

   

   

   

   

   

1,219,111

I

#7

Common Stock

   

   

   

   

   

   

   

-0-(a)

I

#8

Common Stock

   

   

   

   

   

   

   

2,414(a)

I

#9

Common Stock

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

Reminder:  Report on a separate line for each class of securities beneficially owned directly or indirectly.                                                    Over
*If the form is filed by more than one reporting person, see Instruction 4(b)(v)                                                                   SEC 1474 (9-02) 

 

<PAGE>

FORM 4  (continued)                                                                        Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1.  Title of Derivative Security
  (Instr. 3)

2. Conver-
sion or|
Exercise
Price of
Deriv-
ative

3.  Trans-
action
Date

3A 
Deemed
Execution
Date, if
any

4. Transac-
tion Code
(Instr. 8)

5. Number of Deriv-
ative Securities Ac-
quired (A) or Dis-
posed of (D)
(Instr. 3, 4 and 5)

6.  Date Exercisable
and Expiration Date
(Month//Day/Year)

7.  Title and Amount of Underlying
Securities
(Instr. 3 and 4)

8. Price
of
Deriv-
ative
ecuri-
ty

9.  Number
of Deriv-
ative
Secur-
ities
Bene-

10. Owner-
ship
Form
of De-
rivative
Secur

11. Nature
of In-
direct
Bene-
ficial
Owner-

   

Security

(Month/
Day/
Year)

(Month/
Day/
Year)

   

   

Date

Expiration

   

Amount or

(Instr.
5)

icially
Owned
at End
of

Ity
Direct
(D) or
Indi-

Ship
(Instr. 4)

   

   

   

   

Code

V

(A)

(D)

Exercisable

Date

Title

Number of Shares

   

Month
(Instr. 4)

rect (I)
(Instr. 4)

   

Series D Preferred

14.0625:1

   

   

   

   

   

   

   

   

Common Stock

988,200

   

70,272

   I

#4

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

   

Explanation of Responses:

(a)    On 9/17/02, the Reporting Person transferred 758 shares of Common Stock to Indirect #2 and Indirect #8 transferred 758 shares to Indirect #9.

Indirect #1:    By Keith E. Lindner, Trustee of the Keith E. Lindner 1996-2 Qualified Annuity Trust dated 3/28/96.
Indirect #2:    By Keith E. Lindner, Trustee of the Keith E. Lindner Living Trust dated June 2, 1992.
Indirect #3:    By Keith E. Lindner, Custodian for his minor children.
Indirect #4:    By Courtney O'Neil & Christopher Hewett, Trustees of the Keith E. Lindner 1992 Trust dated 12/22/92.
Indirect #5:    By Keith E. Lindner and Christopher B. Hewett, Trustees of the Courtney O'Neil 1992 Trust dated 12/22/92.
Indirect #6:    Held by American Financial Group, Inc. ("American Financial") and its subsidiaries. The Reporting Person is an officer, director and significant shareholder of American.
                    Financial.  The Reporting Person disclaims beneficial ownership of the equity securities of Provident Financial Group, Inc. held by American Financial.
Indirect #7:    By Keith E. Lindner, Trustee of the Keith E. Lindner 1996-1 Qualified Annuity Trust dated 3/8/96.
Indirect #8:    Held by Spouse of Reporting Person.
Indirect #9:    By Keith E. Lindner, & Christopher Hewett, Trustees of the Courtney O'Neil Living Trust dated 6/2/92.


**Intentional misstatements or omissions of facts constitute Federal Criminal violations                         Karl J. Grafe_______     October 7, 2002 
  See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).                                           ** Signature of Reporting Person                         Date 
                                                                       Keith E. Lindner
Note:  File three copies of this Form, one of which must be manually signed.                   By: Karl J. Grafe, Attorney-in-Fact              Page 2 
       If space provided is insufficient, see Instruction 6 for procedure.                                                                       SEC 1474 (3/91