SEC Form 4 · accession 0000028823-16-000145
DIEBOLD NIXDORF, Inc · DBD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andreas W Mattes
Officer — President and CEO · Director
Period of report
Feb 11, 2016
Accepted (ET)
Feb 16, 2016 · 4:46 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 SharesF1,F2 | Feb 11, 2016 | A | 23,702 | $23.01 | A | 149,268 | D | |
| Common SharesF1,F2 | Feb 11, 2016 | F | 7,893 | $23.01 | D | 141,375 | D | |
| Common SharesF3,F2 | Feb 11, 2016 | S | 3,555 | $23.25 | D | 137,820 | D |
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 OptionF4 | $31.92 | holding | — | — | — | Jun 6, 2014 | Jun 5, 2023 | Common Stock | 98,082 | 98,082 | D |
| Non-Qualified Stock OptionF4 | $34.13 | holding | — | — | — | Feb 12, 2015 | Feb 12, 2024 | Common Stock | 154,766 | 154,766 | D |
| Non-Qualified Stock OptionF4 | $32.33 | holding | — | — | — | Feb 5, 2016 | Feb 5, 2025 | Common Shares | 200,000 | 200,000 | D |
| Non-Qualified Stock OptionF4 | $27.39 | holding | — | — | — | Feb 3, 2017 | Feb 3, 2026 | Common Shares | 200,000 | 200,000 | D |
Explanation of responses
- F1Reflects delivery of performance shares earned for performance period 2015 under the Equity and Performance Incentive Plan, as amended, and withholding of shares pursuant to tax withholding right.
- F2Number includes restricted stock units.
- F3This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by reporting person on December 9, 2015.
- F4Granted 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.