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ExOne Co·4/A

May 2, 10:58 AM ET

ExOne Co 4/A

4/A · ExOne Co · Filed May 2, 2013

Insider Transaction Report

Form 4/AAmended
Period: 2013-02-06
ExOne CoXONE
ROCKWELL S KENT
DirectorChair and CEO10% Owner
Transactions
  • Conversion

    Class A Preferred Stock

    2013-02-06−12,983,602→ 0 total(indirect: By Trust)
    Exercise: $0.00From: 2013-01-01Exp: 2013-02-12→ Common Stock, par value $0.01 (1,366,694 underlying)
  • Conversion

    Common Stock, par value $0.01

    2013-02-06+1,366,694→ 5,542,694 total(indirect: By Trust)
  • Sale

    Common Stock, par value $0.01

    2013-02-06$16.74/sh−611,667$10,239,306→ 4,931,027 total(indirect: By Trust)
Footnotes (4)
  • [F1]This Form 4 amends the Form 4 filed by Mr. Rockwell on February 13, 2013 to correct the transaction date.
  • [F2]S. Kent Rockwell is the beneficiary of the S. Kent Rockwell Revocable Trust, which is the indirect, sole stockholder of Rockwell Forest Products, Inc. and Rockwell Holdings, Inc. which are the record holders of the shares beneficially owned by Mr. Rockwell. This filing includes Rockwell Forest Products as the 10% holder of 4,176,000 shares. Mr. Rockwell disclaims beneficial ownership of the S. Kent Rockwell Revocable Trust, and this report shall not be deemed to be an admission that Mr. Rockwell is the beneficial owner of the securities owned by the S. Kent Rockwell Revocable Trust for purposes of Section 16 or for any other purpose.
  • [F3]S. Kent Rockwell is the beneficiary of the S. Kent Rockwell Revocable Trust, which is the indirect, sole stockholder of Rockwell Holdings, Inc. which was the record holder of the preferred shares that were converted into common shares and is the record holder of the resulting common shares. Mr. Rockwell disclaims beneficial ownership of the S. Kent Rockwell Revocable Trust, and this report shall not be deemed to be an admission that Mr. Rockwell is the beneficial owner of the securities owned by the S. Kent Rockwell Revocable Trust for purposes of Section 16 or for any other purpose.
  • [F4]This Form 4 amends the Form 4 filed by Mr. Rockwell on February 13, 2013 to correct the transaction codes in columns 4 and 5 of Table II.

Documents

2 files