SEC Form 4 · accession 0001437749-17-019671
Proto Labs Inc · PRLB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rainer Gawlick
Director
Period of report
Nov 21, 2017
Accepted (ET)
Nov 21, 2017 · 1:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001443669
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 21, 2017 | M | 1,500 | $5.56 | A | 6,925 | D | |
| Common StockF3 | Nov 21, 2017 | S | 1,500 | $90.3147 | D | 5,425 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $5.56 | Nov 21, 2017 | M | 1,500 | D | — | Apr 28, 2019 | Common Stock | 1,500 | 11,000 | D |
Explanation of responses
- F1Stock option exercise effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 2, 2016.
- F2Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 2, 2016.
- F3Reflects the weighted average price of 1,500 shares of common stock of Proto Labs, Inc. sold by the reporting person on November 21, 2017 with sale prices ranging from $90.20 to $90.45 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F4Fully vested.