SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/11/2023 |
3. Issuer Name and Ticker or Trading Symbol
DIEBOLD NIXDORF, Inc [ DBD ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 08/21/2023 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 343,198 | I | See footnotes 1,2,3(1)(2)(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. This Form 3 amendment is being filed to correct the original Form 3 filed on August 21, 2023. The original Form 3 inadvertently excluded (i) 4 shares from the number of shares reported in Table I; and (ii) 65,342 shares from the number of shares reported in Footnote(2) of the original Form 3 with respect to which Capital World Investors ("CWI") has voting and investment control but no pecuniary interest. Please see Footnote (2) for a continuation of this Footnote (1) due to a character limit. |
2. Due to a character limit, Footnote (2) is a continuation of Footnote (1). On March 23, 2023, certain CWI investment advisory clients ("CWI Clients") entered into a trade to acquire certain debt of the Issuer from a third party. The trade remained outstanding at the time of the Issuer's emergence from bankruptcy on August 11, 2023 and remains outstanding as of October 24, 2023. Pursuant to the Second Amended Joint Prepackaged Chapter 11 Plan of Reorganization of the Issuer and certain of its subsidiaries which became effective on August 11, 2023, shares of Common Stock were issued to the Seller in exchange for the acquired debt; as such, the CWI Clients are entitled to receive 65,342 Common Shares from the seller in settlement of the trade, which should have been included in the number of shares reflected in Footnote (2) of the original Form 3 over which CWI has voting and investment control but no pecuniary interest. |
3. CWI is a division of Capital Research and Management Company, as well as its investment management subsidiaries and affiliates Capital Bank and Trust Company, Capital International, Inc., Capital International Limited, Capital International Sarl, Capital International K.K., Capital Group Private Client Services, Inc., and Capital Group Investment Management Private Limited. CWI's divisions of each of the aforementioned investment management entities collectively provide investment management services under the name "Capital World Investors." CWI is the investment adviser to certain investment advisory clients or discretionary accounts which hold the 343,198 shares of Common Stock reported in this Form 3. CWI also has voting and investment control with respect to 12,233,578 shares of Common Stock held by other CWI investment advisory clients but has no pecuniary interest in such shares of Common Stock; accordingly, such shares are not included in this Form 3. |
Erik Vayntrub, Senior Vice President and Senior Counsel, Fund Business Management Group, Capital Research and Management Company | 10/24/2023 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |