SEC Form 4 · accession 0000899243-18-022318
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 13, 2018
Accepted (ET)
Aug 14, 2018 · 5:20 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 13, 2018 | A | 12,000 | $0.00 | A | 22,000 | D | |
| Common StockF2 | holding | — | — | — | 4,208,055 | I | See Footnote |
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-half of the restricted stock vests on the first anniversary of the grant date and the remaining one-half vests on the second anniversary of the grant date.
- 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 listed shares.
Remarks
See attached Exhibit 24 (Power of Attorney).