Gerrard Schmid - Feb 5, 2022 Form 4 Insider Report for DIEBOLD NIXDORF, Inc (DBD)

Role
President and CEO, Director
Signature
Jonathan B. Leiken, Attorney-in-fact for Gerrard Schmid
Stock symbol
DBD
Transactions as of
Feb 5, 2022
Transactions value $
$337,532
Form type
4
Date filed
2/8/2022, 08:14 PM
Previous filing
Jan 31, 2022
Next filing
May 26, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction DBD Common Shares Tax liability -$278K -33.7K -6.67% $8.25* 471K Feb 5, 2022 Direct F1, F2
transaction DBD Common Shares Award $1.26M +152K +32.33% $8.25* 624K Feb 6, 2022 Direct F2, F3
transaction DBD Common Shares Tax liability -$642K -77.8K -12.47% $8.25* 546K Feb 6, 2022 Direct F2, F4
holding DBD Common Shares 10K Feb 5, 2022 By Spouse

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding DBD Non-Qualified Stock Option 192K Feb 5, 2022 Common Shares 192K $15.35 Direct F5
holding DBD Non-Qualified Stock Option 677K Feb 5, 2022 Common Shares 677K $4.49 Direct F6
holding DBD Non-Qualified Stock Option 34.7K Feb 5, 2022 Common Shares 34.7K $13.98 Direct F6
holding DBD Non-Qualified Stock Option 254K Feb 5, 2022 Common Shares 254K $13.15 Direct F6
holding DBD Performance Share Units 56.1K Feb 5, 2022 Common Shares 56.1K Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares withheld pursuant to exercise of tax withholding right under the 2017 Equity and Performance Incentive Plan - Restricted Share Award
F2 Number includes restricted stock units.
F3 Reflects delivery of shares earned under the 2021 Performance Award Agreement.
F4 Reflects withholding of shares to satisfy the Reporting Person's tax obligations in connection with the vesting of shares of restricted common stock of the Issuer.
F5 Option is generally exercisable in annual increments of 1/3, 1/3, 1/3 beginning one year from the date of grant.
F6 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.
F7 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.