ExOne Co Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows, 39 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-11-12: Reporting owner Zemba Douglas D.; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-11-12: Reporting owner Zemba Douglas D.; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-11-12: Reporting owner Zemba Douglas D.; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-11-12: Reporting owner Zemba Douglas D.; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-11-12 | Zemba Douglas D. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,667 0 owned after | $18.00 exercise price | 2021-11-16 | |
| 2021-11-12 | Zemba Douglas D. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $10.10 exercise price | 2021-11-16 | |
| 2021-11-12 | Zemba Douglas D. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $7.91 exercise price | 2021-11-16 | |
| 2021-11-12 | Zemba Douglas D. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $7.11 exercise price | 2021-11-16 | |
| 2021-11-12 | Benec Loretta Lobes Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,000 0 owned after | $8.36 exercise price | 2021-11-16 | |
| 2021-11-12 | Benec Loretta Lobes Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $6.75 exercise price | 2021-11-16 | |
| 2021-11-12 | Benec Loretta Lobes Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $7.11 exercise price | 2021-11-16 | |
| 2021-11-12 | Lucas Rick Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $6.75 exercise price | 2021-11-16 | |
| 2021-11-12 | Lucas Rick Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $7.11 exercise price | 2021-11-16 | |
| 2021-11-12 | Hartner John Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $9.67 exercise price | 2021-11-16 | |
| 2021-11-12 | Hartner John Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $7.11 exercise price | 2021-11-16 | |
| 2021-11-01 | Lucas Rick Officer (See Remarks) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $18.00 exercise price | 2021-11-03 | |
| 2021-11-01 | Lucas Rick Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $7.91 exercise price | 2021-11-03 | |
| 2019-08-12 | Lucas Rick Officer (Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $7.11 exercise price | 2019-08-14 | |
| 2019-08-12 | Benec Loretta Lobes Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $7.11 exercise price | 2019-08-14 | |
| 2019-08-12 | Zemba Douglas D. Officer (CFO & Treasurer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $7.11 exercise price | 2019-08-14 | |
| 2019-08-12 | Hartner John Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $7.11 exercise price | 2019-08-14 | |
| 2019-05-15 | Grace Charles Officer (Chief Customer Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +54,310 54,310 owned after | $8.23 exercise price | 2019-05-17 | |
| 2018-11-12 | Hartner John Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $9.67 exercise price | 2018-11-14 | |
| 2018-08-13 | Benec Loretta Lobes Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $6.75 exercise price | 2018-08-14 | |
| 2018-08-13 | Helfrich Jared Adam Officer (Chief Commercial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $6.75 exercise price | 2018-08-14 | |
| 2018-08-13 | Lucas Rick Officer (Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $6.75 exercise price | 2018-08-14 | |
| 2018-07-23 holding as of filing | Zemba Douglas D. Officer (CFO & Treasurer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $10.10 exercise price | 2018-07-23 | ||
| 2018-07-23 holding as of filing | Zemba Douglas D. Officer (CFO & Treasurer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.91 exercise price | 2018-07-23 | ||
| 2018-07-23 holding as of filing | Zemba Douglas D. Officer (CFO & Treasurer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $18.00 exercise price | 2018-07-23 | ||
| 2018-07-23 holding as of filing | Helfrich Jared Adam Officer (Chief Commercial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.91 exercise price | 2018-07-23 | ||
| 2018-07-23 holding as of filing | Helfrich Jared Adam Officer (Chief Commercial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $10.10 exercise price | 2018-07-23 | ||
| 2018-03-16 | Benec Loretta Lobes Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $8.36 exercise price | 2018-03-16 | |
| 2017-08-14 | Lucas Rick Officer (Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $7.91 exercise price | 2017-08-15 | |
| 2017-08-14 | Cianci Mark S Officer (Chief Commercial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $7.91 exercise price | 2017-08-15 | |
| 2017-08-14 | McCarley James L Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $7.91 exercise price | 2017-08-15 | |
| 2017-03-22 holding as of filing | Cianci Mark S Officer (Chief Commercial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $10.10 exercise price | 2017-03-22 | ||
| 2016-08-19 | McCarley James L Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $13.82 exercise price | 2016-08-22 | |
| 2014-03-25 | Yokoyama Kenji Officer (GM ExOne KK) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 10,000 owned after | $18.00 exercise price | 2014-03-26 | |
| 2013-02-06 | Lucas Rick Officer (Chief Technology Officer) | 4/A | Incentive Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 35,000 owned after | $18.00 exercise price | 2013-05-02 | |
| 2013-02-06 | Yokoyama Kenji Officer (GM ExOne KK) | 4/A | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $18.00 exercise price | 2013-05-02 | |
| 2012-02-12 | Lucas Rick Officer (Chief Technology Officer) | 4/A | Incentive Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $18.00 exercise price | 2013-02-15 | |
| 2012-02-12 | Yokoyama Kenji Officer (G.M ExOne KK) | 4 | Incentive Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $18.00 exercise price | 2013-02-14 | |
| 2012-02-12 | Lucas Rick Officer (Chief Technology Officer) | 4 | Incentive Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $18.00 exercise price | 2013-02-13 |