Statement of Changes in Beneficial Ownership (4)
07 October 2020 - 10:01AM
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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3235-0287
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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
*
Puthenveetil Reji |
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, Industrial Solutions |
(Last)
(First)
(Middle)
333 THREE D SYSTEMS CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/5/2020 |
(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 | 10/5/2020 | | A | | 19230 (1) | A | $0.00 | 19230 | D | |
Common Stock | 10/5/2020 | | A | | 92712 (2) | A | $0.00 | 111942 | 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) | The Reporting Person was awarded 19,230 shares of restricted stock under the Issuer's 2015 Incentive Plan, which vested immediately upon grant, pursuant to the terms of an Executive Services Agreement, dated July 13, 2020. This agreement terminated as of the date the Reporting Person became an employee of the Issuer. |
(2) | The Reporting Person has been awarded 92,712 shares of restricted stock under the Issuer's 2015 Incentive Plan. Subject to his continued employment or engagement as a consultant, one-third of the total shares awarded will vest on October 1, 2021; an additional one-third of the total shares awarded will vest on October 1, 2022, and the remaining shares will vest on October 1, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Puthenveetil Reji 333 THREE D SYSTEMS CIRCLE ROCK HILL, SC 29730 |
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| EVP, Industrial Solutions |
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Signatures
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/s/ Andrew M. Johnson, Attorney-in-Fact for Reji Puthenveetil | | 10/6/2020 |
**Signature of Reporting Person | Date |
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