Statement of Changes in Beneficial Ownership (4)
March 04 2020 - 5:53PM
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
*
SCHULTZ PHILIP C. |
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, Operations |
(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 | | 1325 (1) | D | $9.53 | 156300 | D | |
Common Stock | 3/2/2020 | | A | | 3730 (2) | A | $0.00 | 160030 | D | |
Common Stock | 3/4/2020 | | S | | 3730 (3) | D | $9.5798 (4) | 156300 | 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 3,730 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) | The transaction reported was the sale of the 3,730 shares awarded to the Reporting Person on March 2, 2020. The Reporting Person will remit $12,292.12 of the proceeds of such sale to the Issuer to satisfy tax withholding with respect to this award. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.52 to $9.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 4 of this Form 4. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
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, for Philip C. Schultz | | 3/4/2020 |
**Signature of Reporting Person | Date |
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