SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/23/2020
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3. Issuer Name and Ticker or Trading Symbol
AMERICAN FINANCIAL GROUP INC
[ AFG ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
principal financial officer |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common |
7,551 |
D |
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Common |
1,853.8053 |
I |
ESPP |
Common |
182.8564 |
I |
DRIP |
Common |
2,387.87 |
I |
RASP
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Phantom Stock |
02/23/2020
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02/23/2025 |
Common Stock |
6.637 |
0.00 |
D |
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Stock Option Grant |
02/23/2020
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02/24/2024 |
Common Stock |
1,014 |
63.15 |
D |
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Stock Option Grant |
02/24/2019 |
02/24/2024 |
Common Stock |
1,784 |
56.44 |
D |
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Explanation of Responses: |
Remarks: |
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Brian S. Hertzman by: Karl J. Grafe as Attorney-in-Fact |
07/06/2024 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and
appoints each of Karl J. Grafe and Mark A. Weiss as the true and lawful attorney
or attorneys-in-fact, with the full power of substitution and revocation, for
the undersigned and in the name, place and stead of the undersigned, in any and
all capacities, to execute, on behalf of the undersigned, any and all statements
or reports under Section 16 of the Securities Exchange Act of 1934, as amended,
with respect to the beneficial ownership of shares of Common Stock, no par
value, of American Financial Group, Inc., including, without limitation, all
initial statements of beneficial ownership on Form 3, all statements of changes
in beneficial ownership on Form 4 and all annual statements of changes in
beneficial ownership of securities on Form 5, all successor or similar forms and
any and all other documents that may be required, from time to time, to be filed
with the Securities and Exchange Commission, to execute any and all amendments
or supplements to any such statements, reports or forms, and to file the same,
with all exhibits thereto, and other documents in connection therewith, with the
Securities and Exchange Commission, granting to said attorney or
attorneys-in-fact, and each of them, full power and authority to do so and
perform each and every act and thing requisite and necessary to be done in and
about the premises, as fully and to all intents and purposes as the undersigned
might or could do in person, hereby ratifying and confirming all that said
attorney or attorneys-in-fact or any of them or their substitute or substitutes,
may lawfully do or cause to be done by virtue hereof.
The undersigned acknowledges that the foregoing attorneys-in-fact, and each of
them, in serving in such capacity at the request of the undersigned, are not
assuming any of the responsibilities of the undersigned to comply with Section
16 of the Securities Exchange Act of 1934 or any other legal requirement. This
Power of Attorney shall remain in effect until revoked by the undersigned in a
signed writing delivered to the foregoing attorneys-in-fact.
_/s/ Brian S. Hertzman______________
Brian S. Hertzman
Date: June 24, 2020