Statement of Changes in Beneficial Ownership (4)
February 10 2020 - 4:18PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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Heel Joachim |
2. Issuer Name and Ticker or Trading Symbol
ZEBRA TECHNOLOGIES CORP
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ZBRA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
SVP, Global Sales |
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(Last)
(First)
(Middle)
C/O ZEBRA TECHNOLOGIES CORPORATION, 3 OVERLOOK POINT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/6/2020 |
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(Street)
LINCOLNSHIRE, IL 60069
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common Stock | | | | | | | | 26930 | D | |
| Class A Common Stock | 2/6/2020 | | A | | 6556 (1) | A | $0.00 | 33643 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 Appreciation Right | $73.50 | | | | | | | (3) | 9/15/2024 | Class A Common Stock | 8572 | | 8572 | D | |
| Stock Appreciation Right | $108.20 | | | | | | | (4) | 5/15/2025 | Class A Common Stock | 4526 | | 4526 | D | |
| Stock Appreciation Right | $51.42 | | | | | | | (5) | 5/12/2026 | Class A Common Stock | 8854 | | 8854 | D | |
| Stock Appreciation Right | $98.87 | | | | | | | (6) | 5/11/2024 | Class A Common Stock | 6033 | | 6033 | D | |
| Stock Appreciation Right | $149.57 | | | | | | | (7) | 5/10/2025 | Class A Common Stock | 4203 | | 4203 | D | |
| Stock Appreciation Right | $205.12 | | | | | | | (8) | 5/2/2026 | Class A Common Stock | 3273 | | 3273 | D | |
| Explanation of Responses: |
| (1) | Previously unreportable performance based restricted stock (PVRS) granted May 11, 2017 with a 3-year performance period ended December 31, 2019. Converted to restricted shares as of February 6, 2020 performance certification with May 11, 2020 vesting date. |
| (2) | Includes 1,349 shares held in Zebra's Employee Stock Purchase Plan at December 31, 2019. [157 ESPP shares purchased in 2019.] |
| (3) | Of the stock appreciation rights subject to this SAR, 2,143 vest on September 15, 2015, 2,143 vest on September 15, 2016, 2,143 vest on September 15, 2017 and 2,143 vest on September 15, 2018. |
| (4) | Of the stock appreciation rights subject to this SAR, 1,131 vest on May 15, 2016, 1,131 vest on May 15, 2017, 1,132 vest on May 15, 2018 and 1,132 vest on May 15, 2019. |
| (5) | Of the stock appreciation rights subject to this SAR, 2,213 vest on May 12, 2017, 2,213 vest on May 12, 2018, 2,214 vest on May 12, 2019 and 2,214 vest on May 12, 2020. |
| (6) | Of the stock appreciation rights subject to this SAR, 1,508 vest on May 11, 2018, 1,508 vest on May 11, 2019, 1,508 vest on May 11, 2020 and 1,509 vest on May 11, 2021. |
| (7) | Of the stock appreciation rights subject to this SAR, 1,050 vest on May 10, 2019, 1,051 vest on May 10, 2020, 1,051 vest on May 10, 2021 and 1051 vest on May 10, 2022. |
| (8) | Of the stock appreciation rights subject to this SAR, 818 vest on May 2, 2020, 818 vest on May 2, 2021, 818 vest on May 2, 2022 and 819 vest on May 2, 2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Heel Joachim
C/O ZEBRA TECHNOLOGIES CORPORATION
3 OVERLOOK POINT
LINCOLNSHIRE, IL 60069 |
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| SVP, Global Sales |
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Signatures
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| /s/ Cristen Kogl, Attorney-in-fact | | 2/10/2020 |
| **Signature of Reporting Person | Date |
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