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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 | ||||||||
Non-qualified Stock Option | $ 36.59 | 02/06/2003 | 02/05/2012 | Common Stock | 15,000 | 15,000 | D | ||||||||
Non-qualified Stock Option | $ 36.31 | 02/05/2004 | 02/04/2013 | Common Stock | 20,000 | 20,000 | D | ||||||||
Non-qualified Stock Option | $ 53.1 | 02/11/2005 | 02/10/2014 | Common Stock | 25,000 | 25,000 | D | ||||||||
Non-qualified Stock Option | $ 55.23 | 02/10/2006 | 02/09/2015 | Common Stock | 22,900 | 22,900 | D | ||||||||
Non-qualified Stock Option | $ 37.87 | (3) | 12/11/2012 | Common Stock | 150,000 | 150,000 | D | ||||||||
Non-qualified Stock Option | $ 25.53 | 02/13/2009 | 02/12/2018 | Common Stock | 120,000 | 120,000 | D | ||||||||
Non-qualified Stock Option | $ 24.79 | 02/11/2010 | 02/10/2019 | Common Stock | 150,000 | 150,000 | D | ||||||||
Non-qualified Stock Option | $ 27.88 | 02/11/2011 | 02/10/2020 | Common Stock | 127,500 | 127,500 | D | ||||||||
Non-qualified Stock Option | $ 33.75 | 02/14/2012 | 02/13/2021 | Common Stock | 135,000 | 135,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SWIDARSKI THOMAS W C/O DIEBOLD, INCORPORATED 5995 MAYFAIR ROAD NORTH CANTON, OH 44720 |
X | President & CEO |
Chad F. Hesse, Att'y.-in-fact for Thomas W. Swidarski | 09/01/2011 | |
**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) | Number of 401(k) shares owned as of most current statement; fractional shares omitted. |
(2) | Number includes restricted stock units |
(3) | 75,000 of these options became exercisable when the stock traded at $50/share or higher for 20 consecutive trading days in July 2007, and the second 75,000 will become exercisable when the stock trades at $60/share or higher for 20 consecutive trading days. All remaining options will become exercisable on the sixth anniversary date of the award. |