SEC Form 4 · accession 0001437749-18-016849
Proto Labs Inc · PRLB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur R. Baker III
Officer — Chief Technology Officer
Period of report
Sep 4, 2018
Accepted (ET)
Sep 11, 2018 · 3:46 pm EDT
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 | Sep 4, 2018 | M | 3,474 | $60.96 | A | 20,020 | D | |
| Common StockF1 | Sep 4, 2018 | S | 3,474 | $154.8115 | D | 16,546 | 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)F2 | $60.96 | Sep 4, 2018 | M | 3,474 | D | — | May 2, 2026 | Common Stock | 3,474 | 5,211 | D |
Explanation of responses
- F1Reflects the weighted average price of 3,474 shares of common stock of Proto Labs, Inc. sold by the reporting person on September 4, 2018 with sale prices ranging from $154.55 to $155.10 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.
- F2The option vests as to 20% of the shares in five annual installments beginning on May 4, 2017.