Statement of Changes in Beneficial Ownership (4)
2016年2月19日 - 4:33AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Rutt Sheila M
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2. Issuer Name
and
Ticker or Trading Symbol
DIEBOLD INC
[
DBD
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP, Chief HR Officer
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(Last)
(First)
(Middle)
C/O DIEBOLD, INCORPORATED, 5995 MAYFAIR ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/17/2016
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(Street)
NORTH CANTON, OH 44720
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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546
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I
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401(k)
(1)
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Common Stock
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11683
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I
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Revocable Trust
(2)
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Common Stock
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2/17/2016
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S
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419
(3)
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D
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$24.44
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33023
(4)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option
(5)
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$39.43
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2/20/2007
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2/19/2016
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Common Stock
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8000.0
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8000
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D
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Non-Qualified Stock Option
(5)
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$47.27
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2/14/2008
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2/13/2017
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Common Stock
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7500.0
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7500
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D
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Non-Qualified Stock Option
(5)
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$32.67
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2/10/2012
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2/9/2021
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Common Stock
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12000.0
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12000
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D
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Non-Qualified Stock Option
(5)
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$34.89
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2/8/2013
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2/7/2022
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Common Stock
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16500.0
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16500
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D
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Non-Qualified Stock Option
(6)
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$29.87
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2/6/2014
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2/5/2023
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Common Stock
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8505.0
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8505
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D
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Non-Qualified Stock Option
(6)
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$34.13
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2/12/2015
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2/12/2024
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Common Stock
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15376.0
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15376
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D
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Non-Qualified Stock Option
(6)
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$32.33
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2/5/2016
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2/5/2025
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Common Shares
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18723.0
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18723
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D
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Non-Qualified Stock Option
(6)
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$27.39
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2/3/2017
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2/3/2026
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Common Stock
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19553.0
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19553
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D
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Explanation of Responses:
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(
1)
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Number of 401(k) shares owned as of most current statement; fractional shares omitted.
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(
2)
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Number of shares held by filer in a revocable trust over which filer has control.
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(
3)
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This transaction was effected for financial and tax planning purposes pursuant to a Rule 10b5-1 Plan adopted by reporting person on December 10, 2015.
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(
4)
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Number includes restricted stock units.
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(
5)
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Granted under the 1991 Equity and Performance Incentive Plan; option is generally exercisable in annual increments of 25% beginning one year from date of grant.
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(
6)
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Granted 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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Rutt Sheila M
C/O DIEBOLD, INCORPORATED
5995 MAYFAIR ROAD
NORTH CANTON, OH 44720
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VP, Chief HR Officer
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Signatures
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Mary M. Swann, Attorney-in-fact for Sheila M. Rutt
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2/18/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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