Initial Statement of Beneficial Ownership (3)
January 09 2020 - 5:06PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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Stern Sadie |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2020
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3. Issuer Name and Ticker or Trading Symbol
3D SYSTEMS CORP [DDD]
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(Last)
(First)
(Middle)
333 THREE D SYSTEMS CIRCLE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP, Human Resources / |
(Street)
ROCK HILL, SC 29730
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 9480 | D | |
Common Stock | 71174 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Performance Based Restricted Stock | (2) | (2) | Common Stock | 8000 (2) | (2) | D | |
Performance Based Restricted Stock | (3) | (3) | Common Stock | 8000 (3) | (3) | D | |
Explanation of Responses: |
(1) | This amount includes 71,174 shares of restricted stock ("RSAs") issued pursuant to the Issuer's 2015 Incentive Plan. Of these shares, 6,668 RSAs vest on October 23, 2020; 5,700 RSAs vest on August 15, 2020; 2,352 RSAs vest on March 1, 2020; 2,351 RSAs vest on March 1, 2021; 6,092 RSAs vest on February 15, 2020; 6,092 RSAs vest on February 15, 2021; 6,091 RSAs vest on February 15, 2022; 2,028 RSAs vest on June 13, 2020; 2,028 RSAs vest on June 13, 2021; 2,027 RSAs vest on June 13, 2022; 14,872 RSAs vest on December 13, 2020; 7,437 RSAs vest on December 13, 2021; and 7,436 RSAs vest on December 13, 2022. |
(2) | The Reporting Person has been awarded 8,000 shares of RSAs under the Issuer's 2015 Incentive Plan. These RSAs vest, if at all, on the later date that is six months after the date of grant and the date that the closing price of a share of the common stock on each trading day during the immediately prior ninety consecutive calendar days is at least $30. |
(3) | he Reporting Person has been awarded 8,000 shares of RSAs under the Issuer's 2015 Incentive Plan. These RSAs vest, if at all, on the later date that is six months after the date of grant and the date that the closing price of a share of the common stock on each trading day during the immediately prior ninety consecutive calendar days is at least $40. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stern Sadie 333 THREE D SYSTEMS CIRCLE ROCK HILL, SC 29730 |
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| EVP, Human Resources |
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Signatures
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Andrew M. Johnson, Attorney-in-Fact, for Sadie Stern | | 1/9/2020 |
**Signature of Reporting Person | Date |
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