Statement of Changes in Beneficial Ownership (4)
November 12 2019 - 4:26PM
Edgar (US Regulatory)
FORM 4
[ ]
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
*
Bailey Brian Joseph |
2. Issuer Name and Ticker or Trading Symbol
Cardtronics plc
[
CATM
]
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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) Managing Dir - North America |
(Last)
(First)
(Middle)
2050 W SAM HOUSTON PARKWAY S, SUITE 1300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/7/2019 |
(Street)
HOUSTON, TX 77042
(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 | 11/7/2019 | | M | | 3634 (1) | A | (2) | 12931 | 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 | (2) | 11/7/2019 | | F | | | 1566 (1) | (3) | (3) | Common Stock | 1566 | (2) | 15115 | D | |
Restricted Stock Units | (2) | 11/7/2019 | | M | | | 3634 (4) | (3) | (3) | Common Stock | 3634 | (2) | 11481 | D | |
Stock Options | $22.31 | | | | | | | (5) | 3/30/2028 | Common Stock | 13020 | | 13020 | D | |
Stock Options | $31.99 | | | | | | | (6) | 3/14/2029 | Common Stock | 8565 | | 8565 | D | |
Explanation of Responses: |
(1) | Restricted Stock Units converted into common shares upon vesting in accordance with each Restricted Stock Unit Agreement. |
(2) | Each Restricted Stock Unit represents a contingent right to receive one share of common stock of the Issuer and are awarded under Issuer's current Stock Incentive Plan and subject to the terms of a Restricted Stock Unit Agreement. |
(3) | Owner granted Restricted Stock Units on date of hire. Each Restricted Stock Unit converts to a share of common stock at the rate of one-third on the 1st three anniversaries thereof. |
(4) | Restricted Stock Units forfeited to cover taxes due upon vesting of Restricted Stock Units. |
(5) | Owner granted Stock Options under Cardtronics' annual Long Term Equity Incentive Plan. Units are subject to the terms of said plan and each Stock Option allows the Owner to purchase one common stock. 33% of the total Stock Options granted become exercisable on each of January 31, 2019; January 31, 2020; and January 31, 2021. |
(6) | Owner granted Stock Options under Cardtronics' annual Long Term Equity Incentive Plan. Units are subject to the terms of said plan and each Stock Option allows the Owner to purchase one common stock. 33% of the total Stock Options granted become exercisable on each of January 31, 2020; January 31, 2021; and January 31, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bailey Brian Joseph 2050 W SAM HOUSTON PARKWAY S SUITE 1300 HOUSTON, TX 77042 |
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| Managing Dir - North America |
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Signatures
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/s/ Paul Carbonelli, attorney-in-fact | | 11/12/2019 |
**Signature of Reporting Person | Date |
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