Initial Statement of Beneficial Ownership (3)
January 14 2019 - 4:39PM
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
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
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SCHULTZ PHILIP C.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/14/2019
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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
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
EVP, Operations /
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(Street)
ROCK HILL, SC 29730
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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51800
(1)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Performance Based Restricted Stock
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(2)
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(2)
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Common Stock
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10000
(2)
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(2)
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D
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Performance Based Restricted Stock
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(3)
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(3)
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Common Stock
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10000
(3)
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(3)
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D
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Performance Based Stock Options (Right to Buy)
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(4)
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9/6/2026
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Common Stock
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50000
(4)
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$15.75
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D
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Performance Based Stock Options (Right to Buy)
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(5)
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9/6/2026
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Common Stock
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50000
(5)
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$15.75
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D
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Explanation of Responses:
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(1)
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This amount includes 30,670 shares of restricted stock issued pursuant to the Issuer's 2015 Incentive Plan. Of these restricted shares, 11,666 restricted shares vest on September 6, 2019; 9,503 restricted shares vest on August 15, 2019; and 9,501 restricted shares vest on August 15, 2020.
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(2)
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The Reporting Person has been awarded 10,000 shares of restricted stock under the Issuer's 2015 Incentive Plan. These shares of restricted stock 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.
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(3)
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The Reporting Person has been awarded 10,000 shares of restricted stock under the Issuer's 2015 Incentive Plan. These shares of restricted stock 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.
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(4)
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The Reporting Person has been awarded 50,000 options under the Issuer's 2015 Incentive Plan. These options to purchase the shares of common stock at an exercise price equal to the closing price of the common stock on September 6, 2016 are exercisable, if at all, on the later of the 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 of the trading days during the immediately prior ninety consecutive calendar days is at least $30.
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(5)
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The Reporting Person has been awarded 50,000 options under the Issuer's 2015 Incentive Plan. These options to purchase the shares of common stock at an exercise price equal to the closing price of the common stock on September 6, 2016 are exercisable, if at all, on the later of the 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 of the trading days during the immediately prior ninety consecutive calendar days is at least $40.
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Remarks:
Exhibit 24 - Power of Attorney
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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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SCHULTZ PHILIP C.
333 THREE D SYSTEMS CIRCLE
ROCK HILL, SC 29730
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EVP, Operations
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Signatures
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/s/ Andrew M. Johnson, Attorney-in-Fact
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1/14/2019
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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 5(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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