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FORM 3
U.S. 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)
Shaffer Alan L.
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(Last) (First) (Middle)
1840 Holbrook Avenue
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(Street)
Detroit MI 48212
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
10-25-00
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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)
[_] Director [_] 10% Owner
[x] Officer (give title below) [_] Other (specify below)
Vice President,
Manufacturing Services
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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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FORM 3 (CONTINUED)
TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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<TABLE>
<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Securities 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>
Employee Stock Option
(Right to Buy) (1) 10/27/10 Common Stock 100,000 $12.50 D
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Explanation of Responses:
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(1) On October 27, 2000, the reporting person was granted an option to purchase
100,000 shares of common stock. The option vests in three equal annual
installments beginning October 27, 2001.
/s/ Patrick S. Lancaster 10/27/00
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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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POWER OF ATTORNEY
Know all men by these presents that ALAN L. SHAFFER does hereby make,
constitute and appoint Patrick S. Lancaster and Michael K. Simonte as true and
lawful attorneys-in-fact of the undersigned with full powers of substitution
and revocation, and each such attorney-in-fact may act independently, for and in
the name, place and stead of the undersigned (both in the undersigned's
individual capacity and in any other corporate or partnership capacity 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 ALAN L. SHAFFER in the
common stock of American Axle & Manufacturing Holdings, Inc. (including any
amendments or supplements to any reports or schedules previously filed by such
person) 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.
Name: Alan L. Shaffer
Dated as of October 25, 2000 /s/ Alan L. Shaffer
State of Michigan
County of Wayne
On 10/25/00, before me, the undersigned, a Notary Public of said
State, duly commissioned and sworn, personally appeared Alan L. Shaffer proved
to me on the basis of satisfactory evidence to be the person who executed the
within instrument in his individual capacity.
In witness whereof, I have hereunto set my hand and affixed by
official seal the day and year in this certificate first above written.
Notary Public
[NOTARY SEAL] /s/ Richard G. Raymond
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Richard G. Raymond
Notary Public, Wayne County, MI
My Commission Expires Jan 1, 2004
