Statement of Changes in Beneficial Ownership (4)
November 13 2020 - 4:22PM
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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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Saks Craig S |
2. Issuer Name and Ticker or Trading Symbol
ACI WORLDWIDE, INC.
[
ACIW
]
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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) Chief Strategy Officer |
(Last)
(First)
(Middle)
3520 KRAFT ROAD, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/11/2020 |
(Street)
NAPLES, FL 34105
(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 | 11/11/2020 | | S | | 648 | D | $34.1284 (1) | 177845 | D | |
Common Stock | 11/11/2020 | | S | | 4754 | D | $33.0533 (2) | 173091 | D | |
Common Stock | 11/11/2020 | | M | | 4671 | A | $20.5133 | 177762 | D | |
Common Stock | 11/11/2020 | | S | | 4671 | D | (3) | 173091 | D | |
Common Stock | 11/11/2020 | | M | | 10548 | A | $14.27 | 183639 | D | |
Common Stock | 11/11/2020 | | S | | 10548 | D | (4) | 173091 | D | |
Common Stock | 11/12/2020 | | M | | 72333 | A | $17.89 | 245424 | D | |
Common Stock | 11/12/2020 | | S | | 72333 | D | (5) | 173091 | D | |
Common Stock | 11/12/2020 | | M | | 48293 | A | $19.08 | 221384 | D | |
Common Stock | 11/12/2020 | | S | | 48293 | D | (6) | 173091 | D | |
Common Stock | 11/12/2020 | | M | | 14307 | A | $20.5133 | 187398 | D | |
Common Stock | 11/12/2020 | | S | | 14307 | D | (7) | 173091 | D | |
Common Stock | 11/12/2020 | | M | | 64000 | A | $20.12 | 237091 | D | |
Common Stock | 11/12/2020 | | S | | 64000 | D | (5) | 173091 | D | |
Common Stock | 11/13/2020 | | S | | 59748 | D | (8) | 113343 | 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 |
Non-Qualified Stock Option (right to buy) | $14.27 | 11/11/2020 | | M | | | 10548 | (9) | 12/3/2022 | Common Stock | 10548 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $17.89 | 11/12/2020 | | M | | | 72333 | (9) | 2/23/2026 | Common Stock | 72333 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $19.08 | 11/12/2020 | | M | | | 48293 | (9) | 1/26/2025 | Common Stock | 48293 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $20.12 | 11/12/2020 | | M | | | 64000 | (10) | 2/21/2027 | Common Stock | 64000 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $20.5133 | 11/11/2020 | | M | | | 4671 | (9) | 12/12/2023 | Common Stock | 4671 | $0.0 | 14307 | D | |
Non-Qualified Stock Option (right to buy) | $20.5133 | 11/12/2020 | | M | | | 14307 | (9) | 12/12/2023 | Common Stock | 14307 | $0.0 | 0 | D | |
Explanation of Responses: |
(1) | The sale price ranged from $34.01 to $34.15, with a weighted average sale price of $34.128395. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(2) | The sale price ranged from $33.00 to $33.19, with a weighted average sale price of $33.053324. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(3) | The sale price ranged from $33.00 to $33.27, with a weighted average sale price of $33.08. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(4) | The sale price ranged from $33.08 to $34.07, with a weighted average sale price of $33.63. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(5) | The sale price ranged from $31.22 to $31.83, with a weighted average sale price of $31.38. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(6) | The sale price ranged from $31.38 to $32.14, with a weighted average sale price of $31.53. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(7) | The sale price ranged from $32.00 to $32.60, with a weighted average sale price of $32.14. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(8) | The sale price ranged from $31.38 to $31.88, with a weighted average sale price of $31.64. Upon request, the reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(9) | The options were granted pursuant to the ACI Worldwide, Inc. 2005 Equity and Performance Incentive Plan. |
(10) | The options were granted pursuant to the ACI Worldwide, Inc. 2016 Equity and Performance Incentive Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Saks Craig S 3520 KRAFT ROAD SUITE 300 NAPLES, FL 34105 |
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| Chief Strategy Officer |
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Signatures
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Craig S Saks | | 11/13/2020 |
**Signature of Reporting Person | Date |
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