Statement of Changes in Beneficial Ownership (4)
December 14 2016 - 4:24PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
LOEWENBAUM G WALTER II
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2. Issuer Name
and
Ticker or Trading Symbol
3D SYSTEMS CORP
[
DDD
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
333 THREE D SYSTEMS CIRCLE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/29/2016
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(Street)
ROCK HILL, SC 29730
(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
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11/29/2016
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J
(1)
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144530
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D
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$14.17
(1)
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176944
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I
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By spouse
(2)
(3)
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Common Stock
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376441
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I
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By The Loewenbaum 1992 Trust
(2)
(4)
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Common Stock
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33279
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I
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By The Lillian Shaw Loewenbaum Trust
(2)
(4)
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Common Stock
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1062816
(5)
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D
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Common Stock
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5100
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I
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By Anna Willis Loewenbaum 1993 Trust
(2)
(4)
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Common Stock
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5100
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I
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The Elizabeth Scott Loewenbaum 1993 Trust
(2)
(4)
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Common Stock
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60000
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I
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By The Wally's Trust u/w/o Joel Simon Loewenbaum
(2)
(6)
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Common Stock
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55565
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I
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By The Waterproof Partnership, L.P.
(2)
(7)
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Common Stock
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67500
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I
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Blanco Cattle & Ranch, LLC
(8)
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Common Stock
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258277
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I
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Elizabeth Scott Loewenbaum 2010 Trust
(2)
(6)
(9)
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Common Stock
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239475
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I
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Anna Loewenbaum Hargrove 2010 Trust
(2)
(6)
(10)
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Common Stock
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11703
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I
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Lillian Shaw Loewenbaum TTEE the LSL3DS 2014 Annuity Trust U/A/ Dtd 11/13/2014
(2)
(11)
(12)
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Common Stock
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40868
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I
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The GWL3D 2015 Annuity Trust U/A Dtd 05/18/2015
(2)
(6)
(13)
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Common Stock
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27538
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I
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The LSL3D 2015 Annuity Trust U/A Dtd 05/18/2015
(2)
(12)
(14)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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On November 29, 2016, for estate planning purposes the Reporting Person's spouse exchanged 144,530 shares of the Issuer's common stock to an independent trust for the benefit of her descendants for a number of shares of another issuer with an equal market value determined based on the opening price of both issuers' common stock on the day of the share exchange. No cash was exchanged in connection with the transaction.
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(
2)
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The Reporting Person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
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(
3)
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Includes 44,967 shares previously held through Lillian Shaw Loewenbaum TTEE the LSLDDD 2014 Annuity Trust U/A Dtd 4/14/2014 and 27,495 shares previously held through Lillian Shaw Loewenbaum TTEE The LSL3D 2015 Annuity Trust U/A Dtd 5/18/2015, all of which were transferred to the Reporting Person's spouse on May 26, 2016. It also includes 38,297 shares previously held through Lillian Shaw Loewenbaum TTEE the LSL3DS 2014 Annuity Trust U/A Dtd 11/13/2014 which were transferred to the Reporting Person's spouse on June 15, 2016. These transfers did not change the Reporting Person's total beneficial ownership as of the transaction date.
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(
4)
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Mr. and Mrs. Loewenbaum serve as Trustees.
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(
5)
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Includes 18,328 shares previously held through George Walter Loewenbaum TTEE the GWLDDD 2014 Annuity Trust U/A Dtd 4/14/2014, 40,804 shares previously held through George Walter Loewenbaum TTEE The GWL3D 2015 Annuity Trust U/A Dtd 5/18/2015 and 50,000 shares previously held through George Walter Loewenbaum TTEE the GWL3DS 2014 Annuity Trust U/A Dtd 11/13/2014, all of which were transferred to his direct holdings on May 26, 2016. This did not change the Reporting Person's total beneficial ownership as of the transaction date. Excludes 68,950 shares previously held through his direct holdings in which 34,475 shares were transferred to Elizabeth Scott Loewenbaum 2010 Trust and 34,475 shares were transferred to Anna Loewenbaum Hargrove 2010 Trust on August 12, 2016. These transfers did not change the Reporting Person's total beneficial ownership as of the transaction date.
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(
6)
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Mr. Loewenbaum serves as Trustee.
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(
7)
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Mr. and Mrs. Loewenbaum are the general partners.
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(
8)
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The limited liability company is owned 100% by Mr. Loewenbaum.
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(
9)
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Includes 34,475 shares previously held through Mr. Loewenbaum's direct holdings which were transferred to Elizabeth Scott Loewenbaum 2010 Trust on August 12, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
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(
10)
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Includes 34,475 shares previously held through Mr. Loewenbaum's direct holdings which were transferred to Anna Loewenbaum Hargrove 2010 Trust on August 12, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
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(
11)
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Excludes 38,297 shares previously held through Lillian Shaw Loewenbaum TTEE the LSL3DS 2014 Annuity Trust U/A Dtd 11/13/2014 which were transferred to Lillian Shaw Loewenbaum, the Reporting Person's spouse on June 15, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
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(
12)
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Mrs. Loewenbaum serves as trustee.
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(
13)
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Excludes 40,804 shares previously held through George Walter Loewenbaum TTEE The GWL3D 2015 Annuity Trust U/A Dtd 5/18/2015 2014 which were transferred to his direct holdings on May 26, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
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(
14)
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Excludes 27,495 shares previously held through Lillian Shaw Loewenbaum TTEE The LSL3D 2015 Annuity Trust U/A Dtd 5/18/2015 which were transferred to Lillian Shaw Loewenbaum, the Reporting Person's spouse on May 26, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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LOEWENBAUM G WALTER II
333 THREE D SYSTEMS CIRCLE
ROCK HILL, SC 29730
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X
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Signatures
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/s/ Andrew M. Johnson, Attorney-in-Fact
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12/14/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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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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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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