0000899243-17-008206.txt : 20170320
0000899243-17-008206.hdr.sgml : 20170320
20170320160659
ACCESSION NUMBER: 0000899243-17-008206
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170317
FILED AS OF DATE: 20170320
DATE AS OF CHANGE: 20170320
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NCR CORP
CENTRAL INDEX KEY: 0000070866
STANDARD INDUSTRIAL CLASSIFICATION: CALCULATING & ACCOUNTING MACHINES (NO ELECTRONIC COMPUTERS) [3578]
IRS NUMBER: 310387920
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3097 SATELLITE BLVD
CITY: DULUTH
STATE: GA
ZIP: 30096
BUSINESS PHONE: 9374455000
MAIL ADDRESS:
STREET 1: 3097 SATELLITE BLVD
CITY: DULUTH
STATE: GA
ZIP: 30096
FORMER COMPANY:
FORMER CONFORMED NAME: NATIONAL CASH REGISTER CO
DATE OF NAME CHANGE: 19740617
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Blackstone NCR Holdco GP L.L.C.
CENTRAL INDEX KEY: 0001660522
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701483
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BTO NCR Holdings - ESC L.P.
CENTRAL INDEX KEY: 0001660517
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701484
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BTO NCR Holdings L.P.
CENTRAL INDEX KEY: 0001660518
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701485
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BMA VI L.L.C.
CENTRAL INDEX KEY: 0001556083
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701487
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Blackstone NCR Holdco L.P.
CENTRAL INDEX KEY: 0001660524
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701488
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BTO Holdings Manager L.L.C.
CENTRAL INDEX KEY: 0001660521
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701481
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Blackstone Tactical Opportunities Associates L.L.C.
CENTRAL INDEX KEY: 0001660520
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701480
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Blackstone BCP VI SBS ESC Holdco L.P.
CENTRAL INDEX KEY: 0001660526
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701486
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVE.
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Blackstone Management Associates VI L.L.C.
CENTRAL INDEX KEY: 0001556089
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701482
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BTOA L.L.C.
CENTRAL INDEX KEY: 0001575478
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00395
FILM NUMBER: 17701479
BUSINESS ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
BUSINESS PHONE: 212-583-5000
MAIL ADDRESS:
STREET 1: C/O THE BLACKSTONE GROUP
STREET 2: 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-03-17
0
0000070866
NCR CORP
NCR
0001660524
Blackstone NCR Holdco L.P.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
0001556083
BMA VI L.L.C.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
10154
0
0
1
0
0001660526
Blackstone BCP VI SBS ESC Holdco L.P.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE,
NEW YORK
NY
10154
0
0
1
0
0001660518
BTO NCR Holdings L.P.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
0001660517
BTO NCR Holdings - ESC L.P.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
0001660522
Blackstone NCR Holdco GP L.L.C.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
0001556089
Blackstone Management Associates VI L.L.C.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
0001660521
BTO Holdings Manager L.L.C.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
0001660520
Blackstone Tactical Opportunities Associates L.L.C.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
0001575478
BTOA L.L.C.
C/O THE BLACKSTONE GROUP L.P.
345 PARK AVENUE
NEW YORK
NY
10154
0
0
1
0
Common Stock
2017-03-17
4
C
0
2236916
A
2236916
I
See Footnotes
Common Stock
2017-03-17
4
C
0
4438
A
4438
I
See Footnotes
Common Stock
2017-03-17
4
C
0
758729
A
758729
I
See Footnotes
Common Stock
2017-03-17
4
C
0
2670
A
2670
I
See Footnotes
Common Stock
2017-03-17
4
S
0
2236916
48.47
D
0
I
See Footnotes
Common Stock
2017-03-17
4
S
0
4438
48.47
D
0
I
See Footnotes
Common Stock
2017-03-17
4
S
0
758729
48.47
D
0
I
See Footnotes
Common Stock
2017-03-17
4
S
0
2670
48.47
D
0
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
C
0
67046
D
Common Stock
587664
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
C
0
133
D
Common Stock
1167
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
C
0
22741
D
Common Stock
199326
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
C
0
80
D
Common Stock
698
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
S
0
254776
1594.98
D
Common Stock
332888
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
S
0
506
1594.98
D
Common Stock
661
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
S
0
86416
1594.98
D
Common Stock
112910
I
See Footnotes
Series A Convertible Preferred Stock
2017-03-17
4
S
0
302
1594.98
D
Common Stock
396
I
See Footnotes
Each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), of NCR Corporation (the "Issuer") may at any time be converted into 33.333 shares of common stock of the Issuer, having par value of $0.01 per share (the "Common Stock"), plus any accrued and unpaid dividends and subject to customary anti-dilution and other adjustments. The Preferred Stock has no expiration date.
These securities are directly held by Blackstone NCR Holdco L.P. ("NCR Holdco").
These securities are directly held by Blackstone BCP VI SBS ESC Holdco L.P. ("BCP VI").
These securities are directly held by BTO NCR Holdings L.P. ("BTO NCR").
These securities are directly held by BTO NCR Holdings - ESC L.P. ("BTO ESC" and, together with NCR Holdco, BCP VI and BTO NCR, the "Partnerships").
The general partner of NCR Holdco is Blackstone NCR Holdco GP L.L.C. The managing member of Blackstone NCR Holdco GP L.L.C. is Blackstone Management Associates VI L.L.C. The sole member of Blackstone Management Associates VI L.L.C. is BMA VI L.L.C. The general partner of BCP VI is BCP VI Side-by-Side GP L.L.C. The general partner of each of BTO NCR and BTO ESC is BTO Holdings Manager L.L.C. The managing member of BTO Holdings Manager L.L.C. is Blackstone Tactical Opportunities Associates L.L.C. The sole member of Blackstone Tactical Opportunities Associates L.L.C. is BTOA L.L.C. The sole member of BCP VI Side-by-Side GP L.L.C., and the managing member of BTOA L.L.C. and BMA VI L.L.C., is Blackstone Holdings III L.P.
The general partner of Blackstone Holdings III L.P. is Blackstone Holdings III GP L.P. The general partner of Blackstone Holdings III GP L.P. is Blackstone Holdings III GP Management L.L.C. The sole member of Blackstone Holdings III GP Management L.L.C. is The Blackstone Group L.P. The general partner of The Blackstone Group L.P. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.
Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.
Each of such Blackstone entities and Mr. Schwarzman may be deemed to beneficially own the securities of the Issuer beneficially owned by the Partnerships directly or indirectly controlled by it or him, but each (other than the Partnerships to the extent of their direct holdings) disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.
This report is filed on behalf of the following entities: Blackstone NCR Holdco L.P., Blackstone BCP VI SBS ESC Holdco L.P., BTO NCR Holdings L.P., BTO NCR Holdings - ESC L.P., Blackstone NCR Holdco GP L.L.C., Blackstone Management Associates VI L.L.C., BMA VI L.L.C., BTO Holdings Manager L.L.C., Blackstone Tactical Opportunities Associates L.L.C., BTOA L.L.C., BCP VI Side-by-Side GP L.L.C., Blackstone Holdings III L.P., Blackstone Holdings III GP L.P., Blackstone Holdings III GP Management L.L.C., The Blackstone Group L.P., Blackstone Group Management L.L.C. and Stephen A. Schwarzman. As there are more than 10 joint filers for this report, a separate report has been filed for Blackstone Holdings III L.P., BCP VI Side-by-Side GP L.L.C., Blackstone Holdings III GP L.P., Blackstone Holdings III GP Management L.L.C., The Blackstone Group L.P., Blackstone Group Management L.L.C. and Stephen A. Schwarzman, which relates to the same transaction.
BLACKSTONE NCR HOLDCO L.P., By: Blackstone NCR Holdco GP L.L.C., its general partner, By: Blackstone Management Associates VI L.L.C., its managing member, By: BMA VI L.L.C., its sole member, By: /s/ John G. Finley Title: Chief Legal Officer
2017-03-20
BLACKSTONE BCP VI SBS ESC HOLDCO L.P., By: BCP VI Side-by-Side GP L.L.C., its general partner, By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer
2017-03-20
BLACKSTONE NCR HOLDCO GP L.L.C., By: Blackstone Management Associates VI L.L.C., its managing member, By: BMA VI L.L.C., its sole member, By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer
2017-03-20
BLACKSTONE MANAGEMENT ASSOCIATES VI L.L.C., By: BMA VI L.L.C., its sole member, By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer
2017-03-20
BMA VI L.L.C., By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer
2017-03-20
BTO NCR HOLDINGS L.P., By: BTO Holdings Manager L.L.C., its general partner, By: Blackstone Tactical Opportunities Associates L.L.C., its managing member, By: BTOA L.L.C., its sole member, By: /s/ Christopher J. James, Title: Authorized Person
2017-03-20
BTO NCR HOLDINGS - ESC L.P., By: BTO Holdings Manager L.L.C., its general partner, By: Blackstone Tactical Opportunities Associates L.L.C., its managing member, By: BTOA L.L.C., its sole member, By: /s/ Christopher J. James, Title: Authorized Person
2017-03-20
BTO HOLDINGS MANAGER L.L.C., By: /s/ Christopher J. James, Name: Christopher J. James, Title: Authorized Person
2017-03-20
BLACKSTONE TACTICAL OPPORTUNITIES ASSOCIATES L.L.C., By: BTOA L.L.C., its sole member, By: /s/ Christopher J. James, Name: Christopher J. James, Title: Authorized Person
2017-03-20
BTOA L.L.C., By: /s/ Christopher J. James, Name: Christopher J. James, Title: Authorized Person
2017-03-20