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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed 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 Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AMERICAN INTERNATIONAL GROUP INC 175 WATER STREET NEW YORK, NY 10038 |
See Remarks |
/s/ Geoffrey N. Cornell, Authorized Person | 04/26/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The 4.38% Series W Senior Unsecured Notes due May 26, 2018 (the "Series W Notes") were called for redemption by the issuer at a price equal to the principal amount of $6,820,000 of the redeemed securities plus accrued interest of $105,380.37 (the "Redemption"). |
(2) | Prior to the Redemption, The Variable Annuity Life Insurance Company ("VALIC"), an indirectly wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held the Series W Notes. Prior to the Redemption, AIG was an indirect beneficial owner of the Series W Notes. |
(3) | American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, and VALIC directly hold $4,000,000.00 principal amount and $5,000,000.00 principal amount, respectively, of the 3.57% Series FF Senior Unsecured Notes due April 16, 2023 (the "Series FF Notes"). AIG is an indirect beneficial owner of the Series FF Notes. |
(4) | Eaglestone Reinsurance Company ("ERC"), an indirect wholly owned subsidiary of AIG, and VALIC directly hold $2,300,000.00 principal amount and $7,700,000.00 principal amount, respectively, of the 3.67% Series GG Senior Unsecured Notes due April 16, 2025 (the "Series GG Notes"). AIG is an indirect beneficial owner of the Series GG Notes. |
(5) | AHAC and The United States Life Insurance Company in the City of New York ("USLIC"), also an indirect wholly owned subsidiary of AIG, directly hold $6,775,000.00 principal amount and $13,225,000.00 principal amount, respectively, of the 3.93% Series KK Senior Unsecured Notes due July 30, 2024 (the "Series KK Notes"). AIG is an indirect beneficial owner of the Series KK Notes. |
(6) | AHAC, Lexington Insurance Company ("Lexington"), also an indirectly wholly owned subsidiary of AIG, and National Union Fire Insurance Company of Pittsburgh, PA ("NUF"), also an indirectly wholly owned subsidiary of AIG, directly hold $16,014,900.00 principal amount, $985,100.00 principal amount and $16,000,000.00 principal amount, respectively, of the 2.89% Series LL Senior Unsecured Notes due October 29, 2020 (the "Series LL Notes"). AIG is an indirect beneficial owner of the Series LL Notes. |
(7) | AHAC, Lexington and NUF directly hold $4,701,500.00 principal amount, $298,500.00 principal amount and $5,000,000.00 principal amount, respectively, of the 3.26% Series MM Senior Unsecured Notes due October 29, 2022 (the "Series MM Notes"). AIG is an indirect beneficial owner of the Series MM Notes. |
(8) | American General Life Insurance Company ("AGLIC") and Lexington directly hold $14,750,000.00 principal amount and $250,000.00 principal amount, respectively, of the 3.46% Series OO Senior Unsecured Notes due October 29, 2024 (the "Series OO Notes"). AIG is an indirect beneficial owner of the Series OO Notes. |
(9) | AGLIC and AHAC directly hold 532,000 shares and 268,000 shares, respectively, of the Series H Mandatory Redeemable Preferred Shares (the "Series H MRPS"). AIG is an indirect beneficial owner of the Series H MRPS. |
(10) | AHAC and VALIC directly hold 80,000 shares and 160,000 shares, respectively, of the Series I Mandatory Redeemable Preferred Shares (the "Series I MRPS"). AIG is an indirect beneficial owner of the Series I MRPS. |
Remarks: Filed pursuant to Section 30(h) of the Investment Company Act of 1940. |