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FORM 4
- ------ U.S. SECURITIES AND EXCHANGE COMMISSION
[ ] Check box if no longer WASHINGTON, DC 20549
subject to Section 16. Form
4 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
continue. See Instruction 1(b).
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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person(1)|2. Issuer Name and Ticker or Trading Symbol |6. Relationship of Reporting Person
| | to Issuer (Check all applicable)
Dauch Richard E. |American Axle & Manufacturing Holdings, Inc. | Director 10% Owner
(NYSE-AXL) X X
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(Last) (First) (Middle) |3. IRS Identification | 4. Statement for | X Officer (give title below)
| Number of | Month/Year | -----
c/o American Axle & Manufacturing | Reporting Person, | | Other (specify below)
Holdings, Inc. 1840 Holbrook Avenue | if an Entity | 10/99 | -----
| (Voluntary) | | Chairman of the Board of Directors
| | | Chief Executive Officer and President
- -----------------------------------------| |-------------------------|----------------------------------------
(Street) | | 5. If Amendment, |7. Individual or Joint/Group Filing
| | Date of Original | X (Check applicable line)
Detroit, MI 48212 | | (Month/Year) | -- Form Filed by One Reporting Person
| | |
- -----------------------------------------|-------------------------------------------------| -- Form Filed by More than One
(City) (State) (Zip) | | Reporting Person
| |
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TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security |2. Transaction| 3. Transaction|4. Securities Acquired (A)| 5. Amount of|6. Owner- |7. Nature
(Instr. 3) | Date | Code | or Disposed of (D) | Securities | ship | of
| | (Instr. 8) | (Instr. 3, 4 and 5) | Beneficially| Form: | Indirect
| | | | Owned at End| Direct | Bene-
| |---------------|--------------------------| of Month | (D) or | ficial
| | | | | (A) | | (Instr. 3 | Indirect | Owner-
| (Month/Day/ | | | | or | | and 4) | (I) | ship
| Year) | Code | V | Amount | (D) | Price | |(Instr. 4)|(Instr. 4)
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | |By the
Dauch
Annuity
Common Stock 10/19/99 P 4,135,149 A $0.01 I Trust 2001
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
By the
Dauch
Annuity
Common Stock | 10/19/99 | P | |1,378,383 A | $0.01 | | I |Trust 2004
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
By the
Dauch
Annuity
Common Stock | 10/19/99 | P | |1,378,383 A | $0.01 | 6,938,845 | I |Trust 2007
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
Common Stock | | | | | | | 3,477,355 | D |(1)
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | | |
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | | |
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | | |
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | | |
- --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | | |
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</TABLE>
If the form is filed by more than one person, see instruction 4(b)(v).
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative | 2. Conver- |3. Trans- |4. Trans- |5. Number of |6. Date Exer- |7. Title and Amount |8. Price
Security | sion or | action | action | Derivative | cisable and | of Underlying | of
(Instr. 3) | Exercise | Date | Code | Securities Ac- | Expiration | Securities | Deriv-
| Price of | (Month/ | (Instr. 8)| quired (A) or | Date | (Instr. 3 and 4) | ative
| Deriv- | Day/ | | Disposed of (D)| (Month/Day/ | | Secur-
| ative | Year) | | (Instr. 3, 4, | Year) | | ity
| Security | | | and 5) | | | (Instr. 5)
| | | | |-------------------------------------|
| | | | |Date |Expira- | | Amount or |
| | |-------------------------------|Exer- |tion | Title | Number of |
| | | Code |V | (A) |(D) |cisable|Date | | Shares |
- ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------
Employee Stock Option | $0.01 |10/19/99 | X | | |4,135,149| | |Common |4,135,149 |
(right to buy) | | | | | | | | | Stock | |
- ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------
Employee Stock Option $0.01 10/19/99 X 1,378,383 Common 1,378,383
(right to buy) | | | | | | | | |Stock | |
- ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------
Employee Stock Option $0.01 10/19/99 X 1,378,383 Common 1,378,383
(right to buy) | | | | | | | | |Stock | |
- ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------
Employee Stock Option $4.26 Immed. 10/29/09 Common 370,855
(right to buy) | | | | | | | | |Stock | |
- ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------
Employee Stock Option $4.26 (2) 10/29/09 Common 1,483,420
(right to buy) | | | | | | | | |Stock | |
- ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------
| | | | | | | | | | |
- ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------
| | | | | | | | | | |
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9. Number of | 10. Ownership | 11. Nature of
Derivative | Form of | Indirect
Securities | Derivative | Beneficial
Beneficially | Security: | Ownership
Owned at End | Direct (D) | (Instr. 4)
of Month | or Indirect (I) |
(Instr. 4) | (Instr. 4) |
- ------------------|------------------------|-------------------------------
| I |By the Dauch Annuity Trust 2001
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| I |By the Dauch Annuity Trust 2004
- ------------------|------------------------|-------------------------------
| I |By the Dauch Annuity Trust 2007
- ------------------|------------------------|-------------------------------
| D |
- ------------------|------------------------|-------------------------------
| D |
- ------------------|------------------------|-------------------------------
| |
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Explanation of Responses:
(1) 3,475,955 of these shares of Common Stock have been loaned to the trustee
by trusts pursuant to a loan agreement dated February 15, 1999. The
applicable trusts retain an indirect pecuniary interest in such securities.
(2) Included in this total are 494,474 options which vest in four equal annual
installments beginning December 31,1999 and 988,946 options which vest on
October 29, 2004 or in four equal annual installments beginning December 31,
1999 subject to the Company's satisfaction of certain performance criteria
each year.
/s/ Michael K. Simonte 11/10/99
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Signature of Reporting Person(1) Date
Attorney-in-fact
** 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 provided is insufficient, see Instruction 6 for procedure.
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(Print or Type Responses)
