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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 (1) | 02/23/2019 | M | 9,381 (1) | (1) | (1) | Common Stock | 9,381 | $ 0 | 18,763 | D | ||||
Restricted Stock Units | $ 0 (3) | 02/24/2019 | M | 46,886 (3) | (3) | (3) | Common Stock | 46,886 | $ 0 | 46,885 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ciminera J. Robert 864 SPRING STREET NW ATLANTA, GA 30308 |
EVP Global Customer Services |
Laura J. Foltz, Attorney-in-Fact for J. Robert Ciminera | 02/26/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the conversion of restricted stock units that vested on February 23, 2019. The performance related conditions of these restricted stock units were satisfied on February 7, 2019. |
(2) | These shares were withheld to cover tax withholding obligations when 9,381 previously reported restricted stock units vested on February 23, 2019. |
(3) | Represents the conversion of restricted stock units that vested on February 24, 2019. The performance related conditions of these restricted stock units were satisfied on December 9, 2016. |
(4) | These shares were withheld to cover tax withholding obligations when 46,886 previously reported restricted stock units vested on February 24, 2019. |
(5) | These shares were withheld to cover tax withholding obligations when 2,495 previously reported restricted stock units vested on February 24, 2018. |
(6) | This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2018. |
(7) | Represents the sale of 34,941 shares in three hundred-fifty transactions on February 25, 2019 ranging in price from $28.67 to $29.32 per share, resulting in a weighted average sale price of $28.94 per share. The reporting person undertakes to provide NCR Corporation ("NCR"), any security holder of NCR, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |