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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,
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)
Lappin Richard C.
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(Last) (First) (Middle)
c/o Blackstone Management Associates II,L.L.C.
345 Park Avenue, 31st Floor
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(Street)
New York NY 10154
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
8-6-99
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
American Axle & Manufacturing Holdings, Inc. -- AXL
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [X] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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6. If Amendment, Date of Original (Month/Day/Year)
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7. Individual or Joint/Group Filing (Check Applicable Line)
[X] Form Filed by One Reporting Person
[ ] Form Filed by More Than One Reporting Person
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TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4)
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<S> <C> <C> <C>
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Common Stock 26,510,992 I See attachment.
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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).
Potential persons who are to 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.
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FORM 3 (CONTINUED)
TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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<TABLE>
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5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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<S> <C> <C> <C> <C> <C> <C> <C>
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Explanation of Responses:
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/s/ Richard C. Lappin 8/6/99
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Signature of Reporting Person(1) Date
(1)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.
Page 2
(Print or Type Responses)
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FORM 3 (continued)
ATTACHMENT TO FORM 3
Reporting Person: Richard C. Lappin
Address: c/o Blackstone Management Associates II L.L.C.
345 Park Avenue, 31st Floor
New York, NY 10154
Issuer & Ticker Symbol: American Axle & Manufacturing Holdings, Inc. (AXL)
Date of Event
Requiring Statement: August 6, 1999
As a member of Blackstone Management Associates II L.L.C. ("BMAII") which is
the sole general partner of Blackstone Capital Partners II Merchant Banking
Fund L.P., Blackstone Family Investment Partnership II L.P. and the sole
investment general partner of Blackstone Offshore Capital Partners II L.P.
(collectively the "Partnerships"), the Reporting Person has an indirect
pecuniary interest in a portion of the Common Stock held by the Partnerships.
As permitted by the SEC rules, the number of shares reported includes shares in
excess of the Reporting Person's actual pecuniary interest in the equity
securities of the Issuer. The reporting person disclaims beneficial ownership
of these securities, and this report shall not be deemed as admission that the
reporting person is the beneficial owner of such securities for purposes of
Section 16 or for any other purpose.
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POWER OF ATTORNEY
Know all men by these presents that Richard C. Lappin does hereby make,
constitute and appoint Bret D. Pearlman and Robert Barrack as true and lawful
attorneys-in-fact of the undersigned with full powers of substitution and
revocation, for and in the name, place and stead of the undersigned (both in
the undersigned's individual capacity and as a member of any limited liability
company or partner of any limited partnership for which the undersigned is
otherwise authorized to sign), to execute and deliver such forms as may be
required to be filed from time to time with the Securities and Exchange
Commission with respect to any investments of Blackstone Capital Partners II
Merchant Banking Fund L.P., Blackstone Management Associates II L.L.C.,
Blackstone Family Investment Partnership II L.P. or their affiliates in the
common stock of American Axle & Manufacturing Holdings, Inc. (including any
amendments or supplements to any reports or schedules previously filed by such
persons or entities) pursuant to Sections 13(d) and 16(a) of the Securities
Exchange Act of 1934, as amended, including without limitation Schedules 13D
and statements on Form 3, Form 4 and Form 5.
/s/ Richard C. Lappin
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Name: Richard C. Lappin
August 6, 1999
