SEC Form 4 · accession 0000899243-16-027128
ExOne Co · XONE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S Kent Rockwell
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Aug 12, 2016
Accepted (ET)
Aug 15, 2016 · 5:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561627
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 12, 2016 | A | 7,500 | $0.00 | A | 9,167 | D | |
| Common StockF2 | holding | — | — | — | 4,208,888 | I | By S. Kent Rockwell Revocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock under The ExOne Company 2013 Equity Incentive Plan. One-third of the restricted stock vests on the first anniversary of the date of grant, one-third vests on the second anniversary of the date of grant, and one-third vests on the third anniversary of the date of grant.
- F2S. Kent Rockwell is the beneficiary of the S. Kent Rockwell Revocable Trust, which is the indirect, sole stockholder of Rockwell Forest Products, Inc., which is the record holder of the shares beneficially owned by Mr. Rockwell.