0000899243-21-042692.txt : 20211103 0000899243-21-042692.hdr.sgml : 20211103 20211103160535 ACCESSION NUMBER: 0000899243-21-042692 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211101 FILED AS OF DATE: 20211103 DATE AS OF CHANGE: 20211103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lucas Rick CENTRAL INDEX KEY: 0001569169 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35806 FILM NUMBER: 211375312 MAIL ADDRESS: STREET 1: 65925 STONE RIDGE DRIVE CITY: BELMONT STATE: OH ZIP: 43718 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ExOne Co CENTRAL INDEX KEY: 0001561627 STANDARD INDUSTRIAL CLASSIFICATION: PRINTING TRADES MACHINERY & EQUIPMENT [3555] IRS NUMBER: 261480640 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 127 INDUSTRY BOULEVARD CITY: NORTH HUNTINGDON STATE: PA ZIP: 15642 BUSINESS PHONE: 724-863-9663 MAIL ADDRESS: STREET 1: 127 INDUSTRY BOULEVARD CITY: NORTH HUNTINGDON STATE: PA ZIP: 15642 FORMER COMPANY: FORMER CONFORMED NAME: Ex One Co DATE OF NAME CHANGE: 20130104 FORMER COMPANY: FORMER CONFORMED NAME: Ex One Company, LLC DATE OF NAME CHANGE: 20121105 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-11-01 0 0001561627 ExOne Co XONE 0001569169 Lucas Rick 127 INDUSTRY BOULEVARD NORTH HUNTINGDON PA 15642 0 1 0 0 See Remarks Common Stock, par value $0.01 2021-11-01 4 M 0 15000 18.00 A 70234 D Common Stock, par value $0.01 2021-11-01 4 M 0 25000 7.91 A 95234 D Common Stock, par value $0.01 2021-11-01 4 S 0 40000 25.0948 D 55234 D Common Stock, par value $0.01 2021-11-01 4 S 0 38496 25.0866 D 16738 D Incentive Stock Option (right to buy) 18.00 2021-11-01 4 M 0 15000 0.00 D 2023-02-06 Common Stock 15000 0 D Stock Option (right to buy) 7.91 2021-11-01 4 M 0 25000 0.00 D 2022-08-14 Common Stock 25000 0 D The exercise of stock options awarded under The ExOne Company 2013 Equity Incentive Plan reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.0000 to $25.2800, inclusive. The reporting person undertakes to provide to The ExOne Company, any security holder of The ExOne Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) and (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.0000 to $25.2800, inclusive. The option vested in three equal installments on February 6, 2014, 2015 and 2016. The option vested in two equal installments on August 14, 2017 and 2018. Chief Technology Officer and Vice President of New Markets /s/ Loretta L. Benec, attorney-in-fact for Rick Lucas 2021-11-03