Statement of Changes in Beneficial Ownership (4)
March 04 2020 - 5:51PM
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
*
KOECK HERBERT |
2. Issuer Name and Ticker or Trading Symbol
3D SYSTEMS CORP
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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 |
(Last)
(First)
(Middle)
333 THREE D SYSTEMS CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/2/2020 |
(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 | 3/2/2020 | | F | | 1517 (1) | D | $9.53 | 101718 | D | |
Common Stock | 3/2/2020 | | A | | 4583 (2) | A | $0.00 | 106301 | D | |
Common Stock | 3/2/2020 | | F | | 1478 (3) | D | $9.53 | 104823 | D | |
Common Stock | | | | | | | | 30423 | 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 |
Explanation of Responses: |
(1) | Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock units originally made on March 1, 2019. |
(2) | On March 2, 2020, the Reporting Person was awarded 4,583 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested. |
(3) | Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock made on March 2, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
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 | | 3/4/2020 |
**Signature of Reporting Person | Date |
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