SEC Form 4 · accession 0000028823-19-000049
DIEBOLD NIXDORF, Inc · DBD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Leiken
Officer — SVP, CLO and Secretary
Period of report
Feb 13, 2019
Accepted (ET)
Feb 15, 2019 · 4:25 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 13, 2019 | A | 6,343 | $0.00 | A | 130,687 | D | |
| Common SharesF1,F2 | Feb 13, 2019 | F | 2,766 | $0.00 | D | 127,921 | 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 OptionF3 | $32.33 | holding | — | — | — | Feb 5, 2016 | Feb 4, 2025 | Common Shares | 21,397 | 21,397 | D |
| Non-Qualified Stock OptionF3 | $27.39 | holding | — | — | — | Feb 3, 2017 | Feb 2, 2026 | Common Shares | 24,581 | 24,581 | D |
| Non-Qualified Stock OptionsF3 | $26.60 | holding | — | — | — | Feb 8, 2018 | Feb 7, 2027 | Common Shares | 46,875 | 46,875 | D |
| Non-Qualified Stock OptionF4 | $18.75 | holding | — | — | — | Feb 1, 2019 | Feb 1, 2028 | Common Shares | 24,517 | 24,517 | D |
| Non-Qualified Stock OptionF4 | $4.08 | holding | — | — | — | Jan 29, 2020 | Jan 29, 2029 | Common Shares | 43,715 | 43,715 | D |
Explanation of responses
- F1Reflects delivery of shares earned under the 2017-2019 Synergy Grant, and withholding of shares pursuant to tax withholding right.
- F2Number includes restricted stock units.
- F3Granted 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.
- 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.