Filing Details
- Accession Number:
- 0000028823-21-000065
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-03-22 07:12:08
- Reporting Period:
- 2021-03-15
- Accepted Time:
- 2021-03-22 07:12:08
- Original Submission Date:
- 2021-03-17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 28823 | Diebold Nixdorf Inc | DBD | Calculating & Accounting Machines (No Electronic Computers) (3578) | 340183970 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1732384 | Gerrard Schmid | C/O Diebold Nixdorf, Incorporated 5995 Mayfair Road North Canton OH 44720 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Disposition | 2021-03-15 | 39,449 | $17.15 | 627,384 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2021-03-16 | 53,636 | $16.39 | 573,748 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2021-03-16 | 9,412 | $17.11 | 564,336 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 10,000 | Indirect | By Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Shares | Performance Share Units | $0.00 | 2022-04-25 | 56,059 | 56,059 | Direct | |
| Common Shares | Non-Qualified Stock Option | $15.35 | 2019-02-20 | 2028-02-20 | 192,049 | 192,049 | Direct |
| Common Shares | Non-Qualified Stock Option | $4.49 | 2020-01-29 | 2029-01-29 | 676,814 | 676,814 | Direct |
| Common Shares | Non-Qualified Stock Option | $13.98 | 2020-04-25 | 2029-04-25 | 34,678 | 34,678 | Direct |
| Common Shares | Non-Qualified Stock Option | $13.15 | 2021-01-30 | 2030-01-30 | 253,907 | 253,907 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-04-25 | 56,059 | 56,059 | Direct |
| 2028-02-20 | 192,049 | 192,049 | Direct |
| 2029-01-29 | 676,814 | 676,814 | Direct |
| 2029-04-25 | 34,678 | 34,678 | Direct |
| 2030-01-30 | 253,907 | 253,907 | Direct |
Footnotes
- Trades were for personal estate and tax planning.
- This transaction was executed in multiple trades at prices ranging from $17.00 to $17.31. The price reported above reflects the weighted average sale price. 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.
- Number includes restricted stock units.
- This transaction was executed in multiple trades at prices ranging from $15.93 to $16.91. The price reported above reflects the weighted average sale price. 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.
- This transaction was executed in multiple trades at prices ranging from $16.94 to $17.30. The price reported above reflects the weighted average sale price. 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.
- Award subject to a three-year performance period during which the Company's stock price must appreciate at least 25% in order for the grant to vest. Performance will be measured on the anniversaries of the grant date, and the award will vest upon the first achievement of the performance, but will payout in shares on a pro-rata annual basis after performance is satisfied. If the stock performance condition is not met by the third anniversary of the date of grant, then the entire award is forfeited.
- Option is generally exercisable in annual increments of 1/3, 1/3, 1/3 beginning one year from the date of grant.
- Granted 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.
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