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