SEC Form 4 · accession 0000028823-18-000038
DIEBOLD NIXDORF, Inc · DBD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher A. Chapman
Officer — Interim CEO and CFO
Period of report
Feb 5, 2018
Accepted (ET)
Feb 7, 2018 · 4:50 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 SharesF2,F3 | Feb 5, 2018 | F | 2,086 | $16.50 | D | 46,128 | D | |
| Common StockF1 | holding | — | — | — | 299 | I | 401(k) |
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 | $47.27 | holding | — | — | — | Feb 14, 2008 | Feb 13, 2017 | Common Stock | 1,250 | 1,250 | D |
| Non-Qualified Stock OptionF4 | $24.79 | holding | — | — | — | Feb 11, 2010 | Feb 10, 2019 | Common Stock | 1,250 | 1,250 | D |
| Non-Qualified Stock OptionF4 | $27.88 | holding | — | — | — | Feb 11, 2011 | Feb 10, 2020 | Common Stock | 2,500 | 2,500 | D |
| Non-Qualified Stock OptionF4 | $32.67 | holding | — | — | — | Feb 10, 2012 | Feb 9, 2021 | Common Stock | 7,000 | 7,000 | D |
| Non-Qualified Stock OptionF4 | $34.89 | holding | — | — | — | Feb 8, 2013 | Feb 7, 2022 | Common Stock | 9,500 | 9,500 | D |
| Non-Qualified Stock OptionF5 | $29.87 | holding | — | — | — | Feb 6, 2014 | Feb 5, 2023 | Common Stock | 7,540 | 7,540 | D |
| Non-Qualified Stock OptionF5 | $34.13 | holding | — | — | — | Feb 12, 2015 | Feb 11, 2024 | Common Stock | 10,166 | 10,166 | D |
| Non-Qualified Stock OptionF5 | $32.33 | holding | — | — | — | Feb 5, 2016 | Feb 4, 2025 | Common Shares | 37,445 | 37,445 | D |
| Non-Qualified Stock OptionF5 | $27.39 | holding | — | — | — | Feb 3, 2017 | Feb 2, 2026 | Common Shares | 55,866 | 55,866 | D |
| Non-Qualified Stock OptionsF5 | $26.60 | holding | — | — | — | Feb 8, 2018 | Feb 7, 2027 | Common Shares | 75,658 | 75,658 | D |
| Non-Qualified Stock OptionF6 | $18.75 | holding | — | — | — | Feb 1, 2019 | Feb 1, 2028 | Common Shares | 39,572 | 39,572 | D |
Explanation of responses
- F1Number of 401(k) shares owned as of most current statement; fractional shares omitted.
- F2Shares withheld pursuant to exercise of tax withholding right under the 2017 Equity and Performance Incentive Plan - Restricted Share Award
- F3Number includes restricted stock units.
- F4Granted under the 1991 Equity and Performance Incentive Plan; option is generally exercisable in annual increments of 25% beginning one year from date of grant.
- F5Granted 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.
- F6Granted under the 2017 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.