Filing Details

Accession Number:
0000899243-21-042692
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-03 16:05:35
Reporting Period:
2021-11-01
Accepted Time:
2021-11-03 16:05:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1561627 Exone Co XONE Printing Trades Machinery & Equipment (3555) 261480640
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1569169 Rick Lucas 127 Industry Boulevard
North Huntingdon PA 15642
See Remarks No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Acquisiton 2021-11-01 15,000 $18.00 70,234 No 4 M Direct
Common Stock, Par Value $0.01 Acquisiton 2021-11-01 25,000 $7.91 95,234 No 4 M Direct
Common Stock, Par Value $0.01 Disposition 2021-11-01 40,000 $25.09 55,234 No 4 S Direct
Common Stock, Par Value $0.01 Disposition 2021-11-01 38,496 $25.09 16,738 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Incentive Stock Option (right to buy) Disposition 2021-11-01 15,000 $0.00 15,000 $18.00
Common Stock Stock Option (right to buy) Disposition 2021-11-01 25,000 $0.00 25,000 $7.91
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2023-02-06 No 4 M Direct
0 2022-08-14 No 4 M Direct
Footnotes
  1. 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.
  2. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  3. 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.
  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.
  5. The option vested in three equal installments on February 6, 2014, 2015 and 2016.
  6. The option vested in two equal installments on August 14, 2017 and 2018.