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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/21/19 American Equity Inv Life Hold… Co 8-K:3,5,8,911/20/19 13:495K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 37K 2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 142K 3: EX-5.1 Opinion of Counsel re: Legality HTML 18K 4: EX-5.2 Opinion of Counsel re: Legality HTML 25K 8: R1 Cover HTML 49K 13: XML IDEA XML File -- Filing Summary XML 12K 9: XML XBRL Instance -- tm1923573-1_8k_htm XML 15K 12: EXCEL IDEA Workbook of Financial Reports XLSX 6K 6: EX-101.LAB XBRL Labels -- ael-20191120_lab XML 97K 7: EX-101.PRE XBRL Presentations -- ael-20191120_pre XML 64K 5: EX-101.SCH XBRL Schema -- ael-20191120 XSD 13K 11: JSON XBRL Instance as JSON Data -- MetaLinks 25± 34K 10: ZIP XBRL Zipped Folder -- 0001104659-19-066262-xbrl Zip 51K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): i November 20, 2019
i AMERICAN EQUITY INVESTMENT LIFE HOLDING COMPANY
(Exact name of registrant as specified in its charter)
| i Iowa | i 001-31911 | i 42-1447959 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) | (I.R.S. Employer Identification No.) |
| i 6000 Westown Parkway, i West Des Moines, i Iowa | i 50266 | |
| (Address of principal executive offices) | (Zip Code) |
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| i ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| i ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| i ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| i ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| i Common Stock, par value $1 | i AEL | i New York Stock Exchange |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
C:
Item 3.03 Material Modification to Rights of Security Holders.
On November 21, 2019, American Equity Investment Life Holding Company (the “Company”) closed the public offering of 16,000,000 depositary shares (the “Depositary Shares”), each representing a 1/1,000th interest in a share of its 5.95% Fixed-Rate Reset Non-Cumulative Preferred Stock, Series A, par value $1.00 and $25,000 liquidation preference per share (the “Preferred Stock”). Under the terms of the Preferred Stock, the ability of the Company to declare or pay dividends on, or purchase, redeem or otherwise acquire, shares of its common stock or any shares of the Company that rank junior to, or on parity with, the Preferred Stock will be subject to certain restrictions in the event that the Company does not declare and pay (or set aside) dividends on the Preferred Stock for the last preceding dividend period. The terms of the Preferred Stock, including such restrictions, are more fully described in the Articles of Amendment to the Company’s Articles of Incorporation, including a Certificate of Designations (the “Amendment”), a copy of which is attached as Exhibit 3.2 to the Company’s Registration Statement on Form 8-A, filed with the Securities and Exchange Commission (the “Commission”) on November 20, 2019 and is incorporated herein by reference.
Item 5.03 Amendments to Articles of Incorporation or Bylaws.
On November 20, 2019, the Company filed the Amendment with the Secretary of State of the State of Iowa to establish the preferences, limitations and relative rights of the Preferred Stock. The Amendment became effective upon filing with the Secretary of State of the State of Iowa, and a copy is attached as Exhibit 3.2 to the Company’s Registration Statement on Form 8-A, filed with the Commission on November 20, 2019 and is incorporated herein by reference.
Item 8.01 Other Events.
On November 21, 2019, the Company issued and sold the Depositary Shares, each representing a 1/1,000th interest in a share of the Company’s Preferred Stock.
The Depositary Shares were offered and sold pursuant to the shelf registration statement on Form S-3ASR (File No. 333-233544), filed with the Commission on August 30, 2019, and a prospectus supplement related to the offering dated November 14, 2019.
On November 21, 2019, in connection with the issuance of the Depositary Shares, the Company entered into a deposit agreement (which is attached as Exhibit 4.1 hereto and incorporated herein by reference) among the Company, Computershare Inc. and Computershare Trust Company, N.A., jointly as depositary, the other parties thereto and the holders from time to time of the depositary receipts issued thereunder.
ITEM 9.01 Financial Statements and Exhibits.
| (d) | Exhibits |
C:
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| AMERICAN EQUITY INVESTMENT LIFE HOLDING COMPANY | ||
| (Registrant) | ||
| Date: November 21, 2019 | By: | /s/ Renee D. Montz |
| Renee D. Montz | ||
| Executive Vice President, General Counsel and Corporate Secretary | ||
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 11/21/19 | CERT | ||
| For Period end: | 11/20/19 | 8-A12B | ||
| 11/14/19 | 8-K, FWP | |||
| 8/30/19 | S-3ASR | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/29/24 American Equity Inv Life Hold… Co 10-K 12/31/23 155:26M 2/28/23 American Equity Inv Life Hold… Co 10-K 12/31/22 134:24M 8/25/22 American Equity Inv Life Hold… Co S-3ASR 8/25/22 8:1.7M 3/01/22 American Equity Inv Life Hold… Co 10-K 12/31/21 135:23M 3/01/21 American Equity Inv Life Hold… Co 10-K 12/31/20 137:21M |