SEC Form 4 · accession 0001209191-16-155163
3D SYSTEMS CORP · DDD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G Walter Loewenbaum II
Director
Period of report
Nov 29, 2016
Accepted (ET)
Dec 14, 2016 · 4:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000910638
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Nov 29, 2016 | J | 144,530 | $14.17 | D | 176,944 | I | By spouse |
| Common StockF2,F4 | holding | — | — | — | 376,441 | I | By The Loewenbaum 1992 Trust | |
| Common StockF2,F4 | holding | — | — | — | 33,279 | I | By The Lillian Shaw Loewenbaum Trust | |
| Common StockF5 | holding | — | — | — | 1,062,816 | D | ||
| Common StockF2,F4 | holding | — | — | — | 5,100 | I | By Anna Willis Loewenbaum 1993 Trust | |
| Common StockF2,F4 | holding | — | — | — | 5,100 | I | The Elizabeth Scott Loewenbaum 1993 Trust | |
| Common StockF2,F6 | holding | — | — | — | 60,000 | I | By The Wally's Trust u/w/o Joel Simon Loewenbaum | |
| Common StockF2,F7 | holding | — | — | — | 55,565 | I | By The Waterproof Partnership, L.P. | |
| Common StockF8 | holding | — | — | — | 67,500 | I | Blanco Cattle & Ranch, LLC | |
| Common StockF2,F6,F9 | holding | — | — | — | 258,277 | I | Elizabeth Scott Loewenbaum 2010 Trust | |
| Common StockF2,F6,F10 | holding | — | — | — | 239,475 | I | Anna Loewenbaum Hargrove 2010 Trust | |
| Common StockF2,F11,F12 | holding | — | — | — | 11,703 | I | Lillian Shaw Loewenbaum TTEE the LSL3DS 2014 Annuity Trust U/A/ Dtd 11/13/2014 | |
| Common StockF2,F6,F13 | holding | — | — | — | 40,868 | I | The GWL3D 2015 Annuity Trust U/A Dtd 05/18/2015 | |
| Common StockF2,F12,F14 | holding | — | — | — | 27,538 | I | The LSL3D 2015 Annuity Trust U/A Dtd 05/18/2015 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 29, 2016, for estate planning purposes the Reporting Person's spouse exchanged 144,530 shares of the Issuer's common stock to an independent trust for the benefit of her descendants for a number of shares of another issuer with an equal market value determined based on the opening price of both issuers' common stock on the day of the share exchange. No cash was exchanged in connection with the transaction.
- F10Includes 34,475 shares previously held through Mr. Loewenbaum's direct holdings which were transferred to Anna Loewenbaum Hargrove 2010 Trust on August 12, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
- F11Excludes 38,297 shares previously held through Lillian Shaw Loewenbaum TTEE the LSL3DS 2014 Annuity Trust U/A Dtd 11/13/2014 which were transferred to Lillian Shaw Loewenbaum, the Reporting Person's spouse on June 15, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
- F12Mrs. Loewenbaum serves as trustee.
- F13Excludes 40,804 shares previously held through George Walter Loewenbaum TTEE The GWL3D 2015 Annuity Trust U/A Dtd 5/18/2015 2014 which were transferred to his direct holdings on May 26, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
- F14Excludes 27,495 shares previously held through Lillian Shaw Loewenbaum TTEE The LSL3D 2015 Annuity Trust U/A Dtd 5/18/2015 which were transferred to Lillian Shaw Loewenbaum, the Reporting Person's spouse on May 26, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.
- F2The Reporting Person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
- F3Includes 44,967 shares previously held through Lillian Shaw Loewenbaum TTEE the LSLDDD 2014 Annuity Trust U/A Dtd 4/14/2014 and 27,495 shares previously held through Lillian Shaw Loewenbaum TTEE The LSL3D 2015 Annuity Trust U/A Dtd 5/18/2015, all of which were transferred to the Reporting Person's spouse on May 26, 2016. It also includes 38,297 shares previously held through Lillian Shaw Loewenbaum TTEE the LSL3DS 2014 Annuity Trust U/A Dtd 11/13/2014 which were transferred to the Reporting Person's spouse on June 15, 2016. These transfers did not change the Reporting Person's total beneficial ownership as of the transaction date.
- F4Mr. and Mrs. Loewenbaum serve as Trustees.
- F5Includes 18,328 shares previously held through George Walter Loewenbaum TTEE the GWLDDD 2014 Annuity Trust U/A Dtd 4/14/2014, 40,804 shares previously held through George Walter Loewenbaum TTEE The GWL3D 2015 Annuity Trust U/A Dtd 5/18/2015 and 50,000 shares previously held through George Walter Loewenbaum TTEE the GWL3DS 2014 Annuity Trust U/A Dtd 11/13/2014, all of which were transferred to his direct holdings on May 26, 2016. This did not change the Reporting Person's total beneficial ownership as of the transaction date. Excludes 68,950 shares previously held through his direct holdings in which 34,475 shares were transferred to Elizabeth Scott Loewenbaum 2010 Trust and 34,475 shares were transferred to Anna Loewenbaum Hargrove 2010 Trust on August 12, 2016. These transfers did not change the Reporting Person's total beneficial ownership as of the transaction date.
- F6Mr. Loewenbaum serves as Trustee.
- F7Mr. and Mrs. Loewenbaum are the general partners.
- F8The limited liability company is owned 100% by Mr. Loewenbaum.
- F9Includes 34,475 shares previously held through Mr. Loewenbaum's direct holdings which were transferred to Elizabeth Scott Loewenbaum 2010 Trust on August 12, 2016. This transfer did not change the Reporting Person's total beneficial ownership as of the transaction date.