Rick Lucas - 01 Nov 2021 Form 4 Insider Report for ExOne Co

Role
Chief Technology Officer and Vice President of New Markets
Signature
/s/ Loretta L. Benec, attorney-in-fact for Rick Lucas
Issuer symbol
N/A
Transactions as of
01 Nov 2021
Net transactions value
-$1,501,776
Form type
4
Filing time
03 Nov 2021, 16:05:35 UTC
Previous filing
16 Aug 2021
Next filing
16 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction XONE Common Stock, par value $0.01 Options Exercise $270,000 +15,000 +27% $18.00 70,234 01 Nov 2021 Direct F1
transaction XONE Common Stock, par value $0.01 Options Exercise $197,750 +25,000 +36% $7.91 95,234 01 Nov 2021 Direct F1
transaction XONE Common Stock, par value $0.01 Sale $1,003,792 -40,000 -42% $25.09 55,234 01 Nov 2021 Direct F2, F3
transaction XONE Common Stock, par value $0.01 Sale $965,734 -38,496 -70% $25.09 16,738 01 Nov 2021 Direct F2, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction XONE Incentive Stock Option (right to buy) Options Exercise $0 -15,000 -100% $0.000000* 0 01 Nov 2021 Common Stock 15,000 $18.00 Direct F1, F5
transaction XONE Stock Option (right to buy) Options Exercise $0 -25,000 -100% $0.000000* 0 01 Nov 2021 Common Stock 25,000 $7.91 Direct F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F3 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.
F4 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.
F5 The option vested in three equal installments on February 6, 2014, 2015 and 2016.
F6 The option vested in two equal installments on August 14, 2017 and 2018.

Remarks:

Chief Technology Officer and Vice President of New Markets