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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)
Allman Ronald J.
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(Last) (First) (Middle)
c/o American Axle & Manufacturing Holdings, Inc. Legal Department
1840 Holbrook Ave.
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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)
1/2/01
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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 - Forging Division
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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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<CAPTION>
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 1,500 D
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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) Immed. 10/29/09 Common Stock 19,832 $ 4.26 D
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Employee Stock Option
(Right to Buy) (1) 10/29/09 Common Stock 6,610 $ 4.26 D
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Employee Stock Option
(Right to Buy) (2) 10/29/09 Common Stock 23,138 $ 4.26 D
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Employee Stock Option
(Right to Buy) (3) 5/19/10 Common Stock 12,000 $15.32 D
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Explanation of Responses:
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(1) On October 27, 1997, the reporting person was granted an option to purchase
16,527 shares of common stock. The option vests in five equal annual
installments beginning on October 29, 1998. A total of 9,916 options have
vested under this time option plan.
(2) On October 29, 1997, the reporting person was granted an option to purchase
33,053 shares of common stock. The option vests seven years from the date
of grant or in five equal annual installments beginning on December 31,
1998, subject to the Company's satisfaction of certain performance criteria
each year. A total of 9,916 options have vested under this performance
option plan.
(3) On May 19, 2000, the reporting person was granted an option to purchase
12,000 shares of common stock. This option vests in three annual
installments beginning on May 19, 2001.
/s/ Ronald J. Allman January 5, 2001
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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 RONALD J. ALLMAN 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 RONALD J. ALLMAN 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.
/s/ Ronald J. Allman
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Name: RONALD J. ALLMAN
Dated as of January 4, 2001
State of Michigan
County of Wayne
On January 4, 2001, before me, the undersigned, a Notary Public of
said State, duly commissioned and sworn, personally appeared RONALD J. ALLMAN
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.
/s/ Janice A. Washo
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Notary Public:
JANICE A. WASHO
NOTARY PUBLIC, MACOMB COUNTY, MI
MY COMMISSION EXPIRES 01-16-2003
ACTING IN WAYNE COUNTY
