SEC Form 4 · accession 0000028823-19-000016
DIEBOLD NIXDORF, Inc · DBD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Kerr
Officer — SVP, Software
Period of report
Jan 29, 2019
Accepted (ET)
Jan 31, 2019 · 4:41 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 | Jan 29, 2019 | A | 89,236 | $0.00 | A | 125,326 | 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 | $4.08 | Jan 29, 2019 | A | 45,000 | A | Jan 29, 2020 | Jan 29, 2029 | Common Shares | 45,000 | 45,000 | D |
| Non-Qualified Stock OptionF3 | $38.02 | holding | — | — | — | Aug 4, 2015 | Aug 3, 2024 | Common Stock | 7,751 | 7,751 | D |
| Non-Qualified Stock OptionF3 | $32.33 | holding | — | — | — | Feb 5, 2016 | Feb 4, 2025 | Common Shares | 22,735 | 22,735 | D |
| Non-Qualified Stock OptionF3 | $27.39 | holding | — | — | — | Feb 3, 2017 | Feb 2, 2026 | Common Shares | 23,744 | 23,744 | D |
| Non-Qualified Stock OptionsF3 | $26.60 | holding | — | — | — | Feb 8, 2018 | Feb 7, 2027 | Common Shares | 44,408 | 44,408 | D |
| Non-Qualified Stock OptionF4 | $18.75 | holding | — | — | — | Feb 1, 2019 | Feb 1, 2028 | Common Shares | 23,227 | 23,227 | D |
Explanation of responses
- F1Award of restricted stock units; each restricted stock unit represents a contingent right to receive one share of Diebold Nixdorf, Incorporated common stock.
- F2Number includes restricted stock units.
- F3Granted under the 1999 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.
- F4Granted 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.