SEC FORM 3 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*
HOMBERGER CAROLYN B

(Last) (First) (Middle)
3520 KRAFT ROAD
SUITE 300

(Street)
NAPLES FL 34105

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/09/2019
3. Issuer Name and Ticker or Trading Symbol
ACI WORLDWIDE, INC. [ ACIW ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, Chief Risk Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 64,212 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Non-Qualified Stock Option (right to buy) (1) 12/08/2021 Common Stock 6,878 9.6467 D
Non-Qualified Stock Option (right to buy) (1) 12/03/2022 Common Stock 10,548 14.27 D
Non-Qualified Stock Option (right to buy) (1) 02/23/2026 Common Stock 72,333 17.89 D
Non-Qualified Stock Option (right to buy) (1) 01/26/2025 Common Stock 94,488 19.08 D
Non-Qualified Stock Option (right to buy) (2) 02/21/2027 Common Stock 64,000 20.12 D
Non-Qualified Stock Option (right to buy) (1) 12/12/2023 Common Stock 29,655 20.5133 D
Supplemental Non-Qualified Stock Option (right to buy) (3) 01/26/2025 Common Stock 15,748 19.08 D
Explanation of Responses:
1. The options were granted pursuant to the ACI Worldwide, Inc. 2005 Equity and Performance Incentive Plan ("2005 Plan"), as amended.
2. The options were granted pursuant to the ACI Worldwide, Inc. 2016 Equity and Performance Incentive Plan.
3. These options were granted pursuant to the 2005 Plan and will become exercisable, if at all, upon: (i) the reporting person's continued employment by the registrant as of the fifth anniversary of the date of grant, and (ii) subject to the reporting person's continued employment on such date, the first date, which must be on or before the fifth anniversary of the date of grant, that the closing price per share of of the registrant's common stock on the NASDAQ Global Select Stock Market has met or exceeded $38.16 for at least 20 consecutive trading days.
By: /s/ Dennis Byrnes For: Carolyn B Homberger 12/13/2019
** 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.
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