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3D SYSTEMS CORP — Director's Dealing 2016
Dec 14, 2016
33095_dirs_2016-12-14_eee9e3e5-fa50-4948-93bc-af38f318819b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: 3D SYSTEMS CORP (DDD)
CIK: 0000910638
Period of Report: 2016-11-29
Reporting Person: LOEWENBAUM G WALTER II (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-29 | Common Stock | J | 144530 | $14.17 | Disposed | 176944 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 376441 | Indirect |
| Common Stock | 33279 | Indirect |
| Common Stock | 1062816 | Direct |
| Common Stock | 5100 | Indirect |
| Common Stock | 5100 | Indirect |
| Common Stock | 60000 | Indirect |
| Common Stock | 55565 | Indirect |
| Common Stock | 67500 | Indirect |
| Common Stock | 258277 | Indirect |
| Common Stock | 239475 | Indirect |
| Common Stock | 11703 | Indirect |
| Common Stock | 40868 | Indirect |
| Common Stock | 27538 | Indirect |
Footnotes
F1: On 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.
F2: The Reporting Person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
F3: Includes 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.
F4: Mr. and Mrs. Loewenbaum serve as Trustees.
F5: Includes 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.
F6: Mr. Loewenbaum serves as Trustee.
F7: Mr. and Mrs. Loewenbaum are the general partners.
F8: The limited liability company is owned 100% by Mr. Loewenbaum.
F9: Includes 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.
F10: Includes 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.
F11: Excludes 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.
F12: Mrs. Loewenbaum serves as trustee.
F13: Excludes 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.
F14: Excludes 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.