Statement of Changes in Beneficial Ownership (4)
February 18 2021 - 4:44PM
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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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
*
Baker Arthur R. III |
2. Issuer Name and Ticker or Trading Symbol
Proto Labs Inc
[
PRLB
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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) Chief Technology Officer |
(Last)
(First)
(Middle)
5540 PIONEER CREEK DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2021 |
(Street)
MAPLE PLAIN, MN 55359
(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 | 2/16/2021 | | M | | 3474 | A | $60.96 | 23337 | D | |
Common Stock | 2/16/2021 | | M | | 3628 | A | $58.35 | 26965 | D | |
Common Stock | 2/16/2021 | | S | | 802 | D | $181.0916 (1) | 26163 | D | |
Common Stock | 2/16/2021 | | S | | 1100 | D | $182.8121 (2) | 25063 | D | |
Common Stock | 2/16/2021 | | S | | 900 | D | $183.6868 (3) | 24163 | D | |
Common Stock | 2/16/2021 | | S | | 1500 | D | $184.8503 (4) | 22663 | D | |
Common Stock | 2/16/2021 | | S | | 2100 | D | $185.6607 (5) | 20563 | D | |
Common Stock | 2/16/2021 | | S | | 700 | D | $186.8211 (6) | 19863 | D | |
Common Stock | 2/16/2021 | | S | | 2000 | D | $196.26 | 17863 | D | |
Common Stock | 2/16/2021 | | F | | 1087 | D | $197.05 | 16776 | D | |
Common Stock | 2/16/2021 | | A | | 4212 (9) | A | $0 | 20988 | 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 |
Employee Stock Option (right to buy) | $60.96 | 2/16/2021 | | M | | | 3474 | (7) | 5/2/2026 | Common Stock | 3474 | $0 | 1737 | D | |
Employee Stock Option (right to buy) | $58.35 | 2/16/2021 | | M | | | 3628 | (8) | 2/13/2027 | Common Stock | 3628 | $0 | 907 | D | |
Employee Stock Option (right to buy) | $180.46 | 2/16/2021 | | A | | 3442 | | (10) | 2/16/2031 | Common Stock | 3442 | $0 | 3442 | D | |
Explanation of Responses: |
(1) | Reflects the weighted average price of 802 shares of common stock of Proto Labs, Inc. sold by the reporting person on February 16, 2021 with sale prices ranging from $180.85 to $181.76 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(2) | Reflects the weighted average price of 1,100 shares of common stock of Proto Labs, Inc. sold by the reporting person on February 16, 2021 with sale prices ranging from $182.19 to $183.17 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(3) | Reflects the weighted average price of 900 shares of common stock of Proto Labs, Inc. sold by the reporting person on February 16, 2021 with sale prices ranging from $183.34 to $184.21 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(4) | Reflects the weighted average price of 1,500 shares of common stock of Proto Labs, Inc. sold by the reporting person on February 16, 2021 with sale prices ranging from $184.35 to $185.33 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(5) | Reflects the weighted average price of 2,100 shares of common stock of Proto Labs, Inc. sold by the reporting person on February 16, 2021 with sale prices ranging from $185.37 to $186.21 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(6) | Reflects the weighted average price of 700 shares of common stock of Proto Labs, Inc. sold by the reporting person on February 16, 2021 with sale prices ranging from $186.43 to $187.34 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(7) | The option vests as to 20% of the shares in five annual installments beginning on May 4, 2017. |
(8) | The option vests as to 20% of the shares in five annual installments beginning on February 13, 2018. |
(9) | The restricted stock units vest as to 25% of the shares in four annual installments beginning on February 13, 2022. |
(10) | The option vests as to 25% of the shares in four annual installments beginning on February 13, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Baker Arthur R. III 5540 PIONEER CREEK DRIVE MAPLE PLAIN, MN 55359 |
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| Chief Technology Officer |
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Signatures
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/s/ W. Morgan Burns, Attorney-in-Fact | | 2/18/2021 |
**Signature of Reporting Person | Date |
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