SEC Form 4 · accession 0000028823-16-000110
DIEBOLD NIXDORF, Inc · DBD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sheila M Rutt
Officer — VP, Chief HR Officer
Period of report
Jan 14, 2016
Accepted (ET)
Jan 19, 2016 · 4:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000028823
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3,F4 | Jan 14, 2016 | F | 998 | $25.51 | D | 31,089 | D | |
| Common StockF1 | holding | — | — | — | 525 | I | 401(k) | |
| Common StockF2 | holding | — | — | — | 11,683 | I | Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF5 | $39.43 | holding | — | — | — | Feb 20, 2007 | Feb 19, 2016 | Common Stock | 8,000 | 8,000 | D |
| Non-Qualified Stock OptionF5 | $47.27 | holding | — | — | — | Feb 14, 2008 | Feb 13, 2017 | Common Stock | 7,500 | 7,500 | D |
| Non-Qualified Stock OptionF5 | $32.67 | holding | — | — | — | Feb 10, 2012 | Feb 9, 2021 | Common Stock | 12,000 | 12,000 | D |
| Non-Qualified Stock OptionF5 | $34.89 | holding | — | — | — | Feb 8, 2013 | Feb 7, 2022 | Common Stock | 16,500 | 16,500 | D |
| Non-Qualified Stock OptionF6 | $29.87 | holding | — | — | — | Feb 6, 2014 | Feb 5, 2023 | Common Stock | 8,505 | 8,505 | D |
| Non-Qualified Stock OptionF6 | $34.13 | holding | — | — | — | Feb 12, 2015 | Feb 12, 2024 | Common Stock | 15,376 | 15,376 | D |
| Non-Qualified Stock OptionF6 | $32.33 | holding | — | — | — | Feb 5, 2016 | Feb 5, 2025 | Common Shares | 18,723 | 18,723 | D |
Explanation of responses
- F1Number of 401(k) shares owned as of most current statement; fractional shares omitted.
- F2Number of shares held by filer in a revocable trust over which filer has control.
- F3Shares withheld pursuant to exercise of tax withholding right under the 1991 Equity and Performance Incentive Plan - Restricted Share Award
- F4Number includes restricted stock units.
- F5Granted under the 1991 Equity and Performance Incentive Plan; option is generally exercisable in annual increments of 25% beginning one year from date of grant.
- F6Granted under the 1991 Equity and Performance Incentive Plan; option is generally exercisable in annual increments of 1/3, 1/3, 1/3 beginning one year from the date of grant.