Statement of Changes in Beneficial Ownership (4)
03 Novembro 2021 - 5:06PM
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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3235-0287
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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
*
Lucas Rick |
2. Issuer Name and Ticker or Trading Symbol
ExOne Co
[
XONE
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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) See Remarks |
(Last)
(First)
(Middle)
127 INDUSTRY BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2021 |
(Street)
NORTH HUNTINGDON, PA 15642
(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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Common Stock, par value $0.01 | 11/1/2021 | | M(1) | | 15000 | A | $18.00 | 70234 | D | |
Common Stock, par value $0.01 | 11/1/2021 | | M(1) | | 25000 | A | $7.91 | 95234 | D | |
Common Stock, par value $0.01 | 11/1/2021 | | S(2) | | 40000 | D | $25.0948 (3) | 55234 | D | |
Common Stock, par value $0.01 | 11/1/2021 | | S(2) | | 38496 | D | $25.0866 (4) | 16738 | 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 |
Incentive Stock Option (right to buy) | $18.00 | 11/1/2021 | | M (1) | | | 15000 | (5) | 2/6/2023 | Common Stock | 15000 | $0.00 | 0 | D | |
Stock Option (right to buy) | $7.91 | 11/1/2021 | | M (1) | | | 25000 | (6) | 8/14/2022 | Common Stock | 25000 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The exercise of stock options awarded under The ExOne Company 2013 Equity Incentive Plan reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.0000 to $25.2800, inclusive. The reporting person undertakes to provide to The ExOne Company, any security holder of The ExOne Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) and (4) to this Form 4. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.0000 to $25.2800, inclusive. |
(5) | The option vested in three equal installments on February 6, 2014, 2015 and 2016. |
(6) | The option vested in two equal installments on August 14, 2017 and 2018. |
Remarks: Chief Technology Officer and Vice President of New Markets |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lucas Rick 127 INDUSTRY BOULEVARD NORTH HUNTINGDON, PA 15642 |
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| See Remarks |
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Signatures
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/s/ Loretta L. Benec, attorney-in-fact for Rick Lucas | | 11/3/2021 |
**Signature of Reporting Person | Date |
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