SEC Form 4: WEST EDWARD H exercised 82,754 units of Common Stock at a strike of $0.00 and covered exercise/tax liability with 66,992 units of Common Stock, increasing direct ownership by 3% to 544,293 units to cover taxes
$CATM
Business Services
Miscellaneous
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Cardtronics plc [ CATM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/24/2021 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 05/24/2021 | M | 43,096 | A | $0 | 571,627 | D | |||
| Common Stock | 05/24/2021 | M | 39,658 | A | $0 | 611,285 | D | |||
| Common Stock | 05/24/2021 | F | 38,454(1) | D | $38.9 | 572,831 | D | |||
| Common Stock | 05/24/2021 | F | 28,538(1) | D | $38.91 | 544,293 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 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: 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 | ||||||||
| Stock Options | $31.99 | 05/24/2021 | M | 43,096 | (2) | 03/14/2029 | Common Stock | 43,096 | $0 | 22,844 | D | ||||
| Stock Options | $20.92 | 05/24/2021 | M | 39,658 | (3) | 03/31/2030 | Common Stock | 39,658 | $0 | 79,316 | D | ||||
| Stock Options | $22.31 | (4) | 03/30/2028 | Common Stock | 114,544 | 114,544 | D | ||||||||
| Restricted Stock Units | (5) | (5) | (5) | Common Stock | 91,116 | 91,116 | D | ||||||||
| Explanation of Responses: |
| 1. Shares surrendered to cover the cost of exercise and withholding tax obligations arising from the exercise of stock options. |
| 2. Represents Stock Options awarded on March 14, 2019 under the Cardtronics 2019 Long-Term Incentive Plan. Each Stock Option allows the Reporting Person to purchase one share of the Issuer's Common Stock, subject to the terms of the Plan and the Stock Option Award Agreement. One-third becomes exercisable on each of January 31, 2020, January 31, 2021, and January 31, 2022. |
| 3. Represents Stock Options awarded on March 31, 2020 under the Cardtronics 2020 Long-Term Incentive Plan. Each Stock Option allows the Reporting Person to purchase one share of the Issuer's Common Stock, subject to the terms of the Plan and the Stock Option Award Agreement. One-third becomes exercisable on each of January 31, 2021, January 31, 2022, and January 31, 2023. |
| 4. Represents Stock Options awarded on March 30, 2018 under the Cardtronics 2018 Long-Term Incentive Plan. Each Stock Option allows the Reporting Person to purchase one share of the Issuer's Common Stock, subject to the terms of the Plan and the Stock Option Award Agreement. One-third becomes exercisable on each of January 31, 2019, January 31, 2020, and January 31, 2021. |
| 5. Each Restricted Stock Unit represents a contingent right to receive one common share of Issuer and are awarded under Issuer's current Stock Incentive Plan and subject to the terms of a Restricted Stock Unit Agreement. |
| /s/ Paul Carbonelli, attorney-in-fact | 05/26/2021 | |
| ** 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 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). | ||
| 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. | ||