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