SEC Form 4 · accession 0001269847-17-000045
ACI WORLDWIDE, INC. · ACIW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James McGroddy
Director
Period of report
Dec 11, 2017
Accepted (ET)
Dec 13, 2017 · 6:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000935036
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 11, 2017 | M | 30,000 | $9.6667 | A | 76,896 | D | |
| Common StockF1,F2 | Dec 11, 2017 | S | 30,000 | $22.4041 | D | 46,896 | D | |
| Common Stock | Dec 13, 2017 | M | 30,000 | $14.3033 | A | 76,896 | D | |
| Common Stock | Dec 13, 2017 | S | 30,000 | $22.40 | D | 46,896 | D | |
| Common Stock | Dec 13, 2017 | M | 30,000 | $13.2033 | A | 76,896 | D | |
| Common Stock | Dec 13, 2017 | S | 30,000 | $22.40 | D | 46,896 | 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 Option (right to buy)F3 | $9.6667 | Dec 11, 2017 | M | 30,000 | D | — | Jun 15, 2021 | Common Stock | 30,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $13.2033 | Dec 13, 2017 | M | 30,000 | D | — | Jun 14, 2022 | Common Stock | 30,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $14.3033 | Dec 13, 2017 | M | 30,000 | D | — | Jun 11, 2023 | Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1The sale price ranged from $22.4 to $22.45, with a weighted average sale price of $22.404092. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2The reporting person engaged in the transactions reported herein, and the gift described below, as part of his personal estate planning. Mr. McGroddy's beneficial ownership of the securities herein is 46,896 shares. The beneficial ownership reflects a charitable gift of 12,000 shares on November 21, 2017, which transaction will be reported on an Annual Statement of Beneficial Ownership of Securities on Form 5.
- F3The options were granted pursuant to the ACI Worldwide, Inc. 2005 Equity and Performance Incentive Plan, as amended.