Amended Statement of Changes in Beneficial Ownership (4/a)
September 10 2019 - 5:01PM
Edgar (US Regulatory)
FORM 4
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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
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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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KOECK HERBERT |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Global Go To Market
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(Last)
(First)
(Middle)
333 THREE D SYSTEMS CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/15/2019
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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)
8/16/2019
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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 (1)
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8/15/2019
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F
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3676
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D
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$6.55
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35795
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D
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Common Stock (1)
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72040
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D
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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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This Form 4/A amends the original Form 4 filed on August 16, 2019 to clarify that the shares reported were withheld to satisfy tax
withholding obligations with respect to the vesting on August 15, 2019 of a grant of restricted stock units (RSUs) originally made on
December 4, 2017. The original Form 4 erroneously reported the transaction as relating to securities beneficially owned by the Reporting
Person and reported separately from the RSUs in Table I. This Form 4/A further corrects the number of
shares of common stock reported as beneficially owned by the Reporting Person in Table 1 to reflect (i) a reduction of 3,676 shares that
were withheld to satisfy tax withholding obligations with respect to the vesting on August 15, 2019 from the number of RSUs beneficially
owned in the first row on Table I, and (ii) a corresponding increase of 3,676 shares of of other securities beneficially owned by the
Reporting Person.
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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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KOECK HERBERT 333 THREE D SYSTEMS CIRCLE ROCK HILL, SC 29730
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EVP, Global Go To Market
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Signatures
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/s/ Andrew M. Johnson, Attorney-in-Fact, for Herbert Koeck
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9/10/2019
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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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