SEC Form 4/A · accession 0001437749-17-019990
Proto Labs Inc · PRLB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John B. Tumelty
Officer — VP/GM & Managing Director-EMEA
Period of report
May 8, 2017
Accepted (ET)
Nov 30, 2017 · 10:40 am 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 StockF1 | May 8, 2017 | M | 6,468 | $47.08 | A | 22,663 | D | |
| Common Stock | May 8, 2017 | M | 5,428 | $30.58 | A | 28,091 | D | |
| Common StockF2 | May 8, 2017 | S | 11,896 | $61.7184 | D | 16,195 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $47.08 | May 8, 2017 | M | 6,468 | D | — | Feb 15, 2023 | Common Stock | 6,468 | 3,234 | D |
| Employee Stock Option (right to buy)F4 | $30.58 | May 8, 2017 | M | 5,428 | D | — | May 7, 2022 | Common Stock | 5,428 | 0 | D |
Explanation of responses
- F1This filing amends Table I and Table II to include exercises of stock options that were inadvertently omitted from the original filing.
- F2Reflects the weighted average price of 11,896 shares of common stock of Proto Labs, Inc. sold by the reporting person on May 8, 2017, with sale prices ranging from $61.20 to $61.88 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.
- F3The option vests as to 20% of the shares in five annual installments beginning on February 15, 2014.
- F4Fully vested.