SEC Form 4/A · accession 0000899243-17-027516
ExOne Co · XONE
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 Irvin
Director
Period of report
Nov 20, 2017
Accepted (ET)
Nov 28, 2017 · 8:14 pm EST
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 Stock, par value $0.01F2,F3 | Nov 20, 2017 | S | 3,606 | $11.54 | D | 91,394 | I | By 20 20 Holdings, LLC |
| Common Stock, par value $0.01F2,F3 | Nov 21, 2017 | S | 5,300 | $11.73 | D | 86,094 | I | By 20 20 Holdings, LLC |
| Common Stock, par value $0.01F2,F3 | Nov 22, 2017 | S | 2,602 | $11.70 | D | 83,492 | I | By 20 20 Holdings, LLC |
| Common Stock, par value $0.01 | holding | — | — | — | 154,300 | D | ||
| Common Stock, par value $0.01F4 | holding | — | — | — | 3,000 | I | By wife |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by 20 20 Holdings, LLC and Mr. Irvin on November 17, 2017.
- F2The price reported in Column 4 is a weighted average price. The shares sold on November 20, 2017 were sold in multiple transactions at prices ranging from $11.39 to $11.71, inclusive. The shares sold on November 21, 2017 were sold in multiple transactions at prices ranging from $11.56 to $12.00, inclusive. The shares sold on November 22, 2017 were sold in multiple transactions at prices ranging from $11.45 to $11.78, inclusive. Mr. Irvin 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 this footnote.
- F320 20 Holdings, LLC is the owner of these shares. 20 20 Holdings is a limited liability company of which Mr. Irvin is the sole manager and has sole power to vote and dispose of the shares.
- F4Mr. Irvin's wife is the owner of the 3,000 shares. Mr. Irvin disclaims beneficial ownership of these shares, and this report shall not be deemed to be an admission that Mr. Irvin is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
Remarks
The Form 4, as originally filed, did not include Exhibit 24 - Power of Attorney. This Form 4/A correctly includes Exhibit 24. All other information provided on the Form 4, as originally filed, is accurate.