Initial Statement of Beneficial Ownership (3)
January 14 2019 - 4:43PM
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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KOECK HERBERT
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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, Global Go To Market /
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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)
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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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35689
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D
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Common Stock
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39471
(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 Units
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(2)
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(2)
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Common Stock
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15000
(2)
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(2)
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D
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Performance Based Restricted Stock Units
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(3)
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(3)
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Common Stock
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15000
(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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70000
(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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70000
(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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The Reporting Person has been awarded 39,471 restricted stock units under the Issuer's 2015 Incentive Plan. These units will convert into an equal number of common stock shares upon vesting. 11,403 restricted stock units vest on August 15, 2019; 16,666 restricted stock units vest on September 6, 2019; and 11,402 restricted stock units vest on August 15, 2020.
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(2)
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The Reporting Person has been awarded 15,000 restricted stock units under the Issuer's 2015 Incentive Plan. These restricted stock units convert into an equal number of common stock shares upon vesting. These restricted stock units 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 15,000 restricted stock units under the Issuer's 2015 Incentive Plan. These restricted stock units convert into an equal number of common stock shares upon vesting. These restricted stock units 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 70,000 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 70,000 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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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
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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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