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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 12.7225 (1) | 08/23/2005 | M | 13,334 | (2) | 07/29/2012 | Common Stock | 13,334 (3) | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 24.0925 (4) | 08/23/2005 | M | 26,000 | (5) | 02/01/2011 | Common Stock | 100,000 (6) | $ 0 | 74,000 (6) | D | ||||
Employee Stock Option (Right to Buy) | $ 13.67 (7) | 08/23/2005 | M | 10,666 | (8) | 08/04/2013 | Common Stock | 21,334 (9) | $ 0 | 10,668 (9) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GAGLIARDI GERALD 1700 S. PATTERSON BOULEVARD DAYTON, OH 45479 |
Senior Vice President |
Nelson F. Greene, Gerald Gagliardi | 08/24/2005 | |
**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) | Previously reported price was $25.45. On January 21, 2005, the common stock of NCR Corporation split 2-for-1, with the result that the previously reported price of $25.45 split to $12.7225. |
(2) | The option vests in 3 equal annual installments beginning on 07/29/2003. |
(3) | Previously reported number of securities was 20,000. On February 12, 2004, 6,666 of this options were exercised and on September 19, 2004, 6,667 of these options were exercised. On January 21, 2005, the common stock of NCR Corporation split 2-for-1, with the result that the unexercised number of securities of 6,667 options increased to 13,334 options, all of which are being exercised. |
(4) | Previously reported price was $48.19. On January 21, 2005, the common stock of NCR Corporation split 2-for-1, with the result that the previously reported price of $48.19 split to $24.0925. |
(5) | The option vests in 3 equal annual installments beginning on February 1, 2002. |
(6) | Previously reported number of securities was 100,000. On January 21, 2005, the common stock of NCR Corporation split 2-for-1, with the result that the previously reported 100,000 securities increased to 200,000, of which 50,000 were exercised in February 2005, 50,000 were exercised in May 2005, and 26,000 are being exercised at this time. |
(7) | Previously reported price was $27.34. On January 21, 2005, the common stock of NCR Corporation split 2-for-1, with the result that the previously reported price of $27.34 split to $13.67. |
(8) | The option vests in three equal annual installments beginning August 4, 2004. |
(9) | Previously reported number of securities was 16,000. In September 2004, 5,333 of these options were exercised. On January 21, 2005, the common stock of NCR Corporation split 2-for-1, with the result that the previously reported number of securities of 10,667 increased to 21,334, 10,666 of which are being exercised at this time. |