Statement of Changes in Beneficial Ownership (4)
11 2월 2021 - 6:28AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Potter Beth |
2. Issuer Name and Ticker or Trading Symbol
NCR CORP
[
NCR
]
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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) CAO |
(Last)
(First)
(Middle)
864 SPRING STREET NW |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/8/2021 |
(Street)
ATLANTA, GA 30308
(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 | 2/8/2021 | | F | | 474 (1) | D | $37.68 | 7115 | D | |
Common Stock | 2/8/2021 | | M | | 2936 (2) | A | $0.00 | 10051 | D | |
Common Stock | 2/8/2021 | | F | | 1040 (3) | D | $37.68 | 9011 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | $0.00 (2) | 2/8/2021 | | M | | 2939 (2) | | (2) | (2) | Common Stock | 2939 | $0.00 | 2939 | D | |
Restricted Stock Units | $0.00 (4) | 2/9/2021 | | M | | 2412 (4) | | (4) | (4) | Common Stock | 2412 | $0.00 | 2412 | D | |
Explanation of Responses: |
(1) | These shares were withheld to cover tax withholding obligations when 1,577 previously reported restricted stock units (RSUs) vested on February 8, 2021. |
(2) | Table I reports vesting of the second one-third of previously reported 3-year ratable vesting performance-based RSUs granted on February 8, 2019. Vesting of the remaining one-third of such RSUs, shown in Table II, is subject to the reporting person's continued employment with the issuer through the vesting date in accordance with the RSU award agreement. |
(3) | These shares were withheld to cover tax withholding obligations when 2,936 restricted stock units vested on February 8, 2021 as reported herein. |
(4) | Performance-based RSUs as to which the performance-related conditions to vesting have been satisfied. These RSUs vest ratably, with one-third vesting on each of the first, second and third anniversaries of the February 12, 2020 grant date, subject to the reporting person's continued service with the issuer through the vesting dates in accordance with the RSU award agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Potter Beth 864 SPRING STREET NW ATLANTA, GA 30308 |
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| CAO |
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Signatures
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Laura J. Foltz, Attorney-in-Fact for Beth Potter | | 2/10/2021 |
**Signature of Reporting Person | Date |
NCR (NYSE:NCR)
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