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3D SYSTEMS CORP

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5407
SEC CIK
0000910638
Parsed reports
534

Last 12 months

Inside the activity.

0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202602
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 04, 2020 Filed Mar 4, 2020 22:53 UTC
Stern SadieEVP, People and Culture
SaleCommon Stock 3,178 $9.58 $30,444.92
Disclosure

SEC source: 0001209191-20-016298 · doc4.xml · nonDerivative · entry 3

Stern Sadie · CIK 0001797971 · EVP, People and Culture

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,052

F3 · shares: The transaction reported was the sale of the 3,178 shares awarded to the Reporting Person on March 2, 2020. The Reporting Person will remit $10,200.43 of the proceeds of such sale to the Issuer to satisfy tax withholding with respect to this award.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.52 to $9.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 4 of this Form 4.

Read SEC document
March 04, 2020 Filed Mar 4, 2020 22:52 UTC
SCHULTZ PHILIP C.EVP, Operations
SaleCommon Stock 3,730 $9.58 $35,732.65
Disclosure

SEC source: 0001209191-20-016295 · doc4.xml · nonDerivative · entry 3

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,300

F3 · shares: The transaction reported was the sale of the 3,730 shares awarded to the Reporting Person on March 2, 2020. The Reporting Person will remit $12,292.12 of the proceeds of such sale to the Issuer to satisfy tax withholding with respect to this award.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.52 to $9.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 4 of this Form 4.

Read SEC document
March 04, 2020 Filed Mar 4, 2020 22:51 UTC
Krishnan RadhikaEVP, Software and Healthcare
SaleCommon Stock 3,630 $9.57 $34,756.89
Disclosure

SEC source: 0001209191-20-016294 · doc4.xml · nonDerivative · entry 2

Krishnan Radhika · CIK 0001797974 · EVP, Software and Healthcare

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,561

F2 · shares: The transaction reported was the sale of the 3,630 shares awarded to the Reporting Person on March 2, 2020. The Reporting Person will remit $13,847.34 of the proceeds of such sale to the Issuer to satisfy tax withholding with respect to this award.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.515 to $9.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 3 of this Form 4.

Read SEC document
March 03, 2020 Filed Mar 12, 2020 20:44 UTC
Krishnan RadhikaEVP, Software and Healthcare
SaleCommon Stock 6,542 $9.41 $61,556.95
Disclosure

SEC source: 0001209191-20-018552 · doc4.xml · nonDerivative · entry 1

Krishnan Radhika · CIK 0001797974 · EVP, Software and Healthcare

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,019

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.40 to $9.43, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 1 of this Form 4.

F2 · balance_after: This amount reflects the Reporting Person's current ownership, including acquisitions and dispositions made subsequent to the reported transaction (and disclosed previously on a Form 4).

Read SEC document
March 02, 2020 Filed Mar 4, 2020 23:06 UTC
Johnson Andrew MartinEVP, Chief Legal Officer & Sec
GrantCommon Stock 3,234 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016313 · doc4.xml · nonDerivative · entry 2

Johnson Andrew Martin · CIK 0001548887 · EVP, Chief Legal Officer & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,925

F2 · shares: On March 2, 2020, the Reporting Person was awarded 3,234 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 23:06 UTC
Johnson Andrew MartinEVP, Chief Legal Officer & Sec
Tax withholdingCommon Stock 1,097 $9.53 $10,454.41
Disclosure

SEC source: 0001209191-20-016313 · doc4.xml · nonDerivative · entry 1

Johnson Andrew Martin · CIK 0001548887 · EVP, Chief Legal Officer & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,691

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock units originally made on March 1, 2019.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:53 UTC
Stern SadieEVP, People and Culture
GrantCommon Stock 3,178 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016298 · doc4.xml · nonDerivative · entry 2

Stern Sadie · CIK 0001797971 · EVP, People and Culture

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,230

F2 · shares: On March 2, 2020, the Reporting Person was awarded 3,178 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:53 UTC
Stern SadieEVP, People and Culture
Tax withholdingCommon Stock 887 $9.53 $8,453.11
Disclosure

SEC source: 0001209191-20-016298 · doc4.xml · nonDerivative · entry 1

Stern Sadie · CIK 0001797971 · EVP, People and Culture

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,052

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock units originally made on March 1, 2019.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:52 UTC
SCHULTZ PHILIP C.EVP, Operations
GrantCommon Stock 3,730 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016295 · doc4.xml · nonDerivative · entry 2

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,030

F2 · shares: On March 2, 2020, the Reporting Person was awarded 3,730 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:52 UTC
SCHULTZ PHILIP C.EVP, Operations
Tax withholdingCommon Stock 1,325 $9.53 $12,627.25
Disclosure

SEC source: 0001209191-20-016295 · doc4.xml · nonDerivative · entry 1

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,300

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock units originally made on March 1, 2019.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:51 UTC
Krishnan RadhikaEVP, Software and Healthcare
GrantCommon Stock 3,630 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016294 · doc4.xml · nonDerivative · entry 1

Krishnan Radhika · CIK 0001797974 · EVP, Software and Healthcare

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,191

F1 · shares: On March 2, 2020, the Reporting Person was awarded 3,630 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:50 UTC
KOECK HERBERTEVP, Global Go-To-Market
Tax withholdingCommon Stock 1,478 $9.53 $14,085.34
Disclosure

SEC source: 0001209191-20-016292 · doc4.xml · nonDerivative · entry 3

KOECK HERBERT · CIK 0001763539 · EVP, Global Go-To-Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,823

F3 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock made on March 2, 2020.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:50 UTC
KOECK HERBERTEVP, Global Go-To-Market
GrantCommon Stock 4,583 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016292 · doc4.xml · nonDerivative · entry 2

KOECK HERBERT · CIK 0001763539 · EVP, Global Go-To-Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,301

F2 · shares: On March 2, 2020, the Reporting Person was awarded 4,583 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:50 UTC
KOECK HERBERTEVP, Global Go-To-Market
Tax withholdingCommon Stock 1,517 $9.53 $14,457.01
Disclosure

SEC source: 0001209191-20-016292 · doc4.xml · nonDerivative · entry 1

KOECK HERBERT · CIK 0001763539 · EVP, Global Go-To-Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,718

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock units originally made on March 1, 2019.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:49 UTC
JOSHI VYOMESHDirector · President and CEO
Tax withholdingCommon Stock 5,981 $9.53 $56,998.93
Disclosure

SEC source: 0001209191-20-016290 · doc4.xml · nonDerivative · entry 3

JOSHI VYOMESH · CIK 0001207620 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,373

F3 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock made on March 2, 2020.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:49 UTC
JOSHI VYOMESHDirector · President and CEO
GrantCommon Stock 17,295 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016290 · doc4.xml · nonDerivative · entry 2

JOSHI VYOMESH · CIK 0001207620 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,354

F2 · shares: On March 2, 2020, the Reporting Person was awarded 17,295 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:49 UTC
JOSHI VYOMESHDirector · President and CEO
Tax withholdingCommon Stock 5,422 $9.53 $51,671.66
Disclosure

SEC source: 0001209191-20-016290 · doc4.xml · nonDerivative · entry 1

JOSHI VYOMESH · CIK 0001207620 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,059

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock units originally made on March 1, 2019.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:44 UTC
HULL CHARLES WDirector · EVP & Chief Technology Officer
Tax withholdingCommon Stock 1,226 $9.53 $11,683.78
Disclosure

SEC source: 0001209191-20-016283 · doc4.xml · nonDerivative · entry 3

HULL CHARLES W · CIK 0001105964 · Director · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,651

F3 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock made on March 2, 2020.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:44 UTC
HULL CHARLES WDirector · EVP & Chief Technology Officer
GrantCommon Stock 3,639 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016283 · doc4.xml · nonDerivative · entry 2

HULL CHARLES W · CIK 0001105964 · Director · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,877

F2 · shares: On March 2, 2020, the Reporting Person was awarded 3,639 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:44 UTC
HULL CHARLES WDirector · EVP & Chief Technology Officer
Tax withholdingCommon Stock 1,121 $9.53 $10,683.13
Disclosure

SEC source: 0001209191-20-016283 · doc4.xml · nonDerivative · entry 1

HULL CHARLES W · CIK 0001105964 · Director · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,238

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock units originally made on March 1, 2019.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:43 UTC
Booth ToddEVP & Chief Financial Officer
Tax withholdingCommon Stock 272 $9.53 $2,592.16
Disclosure

SEC source: 0001209191-20-016282 · doc4.xml · nonDerivative · entry 2

Booth Todd · CIK 0001785850 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,637

F2 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock made on March 2, 2020.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:43 UTC
Booth ToddEVP & Chief Financial Officer
GrantCommon Stock 1,437 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016282 · doc4.xml · nonDerivative · entry 1

Booth Todd · CIK 0001785850 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,909

F1 · shares: On March 2, 2020, the Reporting Person was awarded 1,437 shares of restricted stock under the Issuer's 2015 Incentive Plan in satisfaction of amounts earned under the 2019 Executive Bonus Plan and, as such, all shares awarded were immediately vested.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:13 UTC
SCHULTZ PHILIP C.EVP, Operations
GrantStock Appreciation Right · Derivative 50,000 $0.00 Strike: $15.75 $0.00
Disclosure

SEC source: 0001209191-20-011195 · doc4.xml · derivative · entry 4

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 50,000 shares

Expires 2026-09-06

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on September 6, 2016. The exercise of one results in the expiration of the other.

F5 · derivative.exercise_date: The Reporting Person has been awarded 50,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on September 6, 2016 and are exercisable, if at all, on the later of the grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $40.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:13 UTC
SCHULTZ PHILIP C.EVP, Operations
GrantStock Appreciation Right · Derivative 50,000 $0.00 Strike: $15.75 $0.00
Disclosure

SEC source: 0001209191-20-011195 · doc4.xml · derivative · entry 3

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-09-06

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on September 6, 2016. The exercise of one results in the expiration of the other.

F4 · derivative.exercise_date: The Reporting Person has been awarded 50,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on September 6, 2016 and are exercisable, if at all, on the later of the grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $30.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:13 UTC
SCHULTZ PHILIP C.EVP, Operations
GrantCommon Stock 33,636 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-011195 · doc4.xml · nonDerivative · entry 2

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,625

F2 · shares: The Reporting Person has been awarded 33,636 shares of restricted stock under the Issuer's 2015 Incentive Plan. One-third of the total shares awarded vest on February 15, 2021, an additional one-third of the total shares awarded vest on February 15, 2022, and the remaining shares awarded vest on February 15, 2023.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:13 UTC
SCHULTZ PHILIP C.EVP, Operations
Tax withholdingCommon Stock 3,306 $12.13 $40,101.78
Disclosure

SEC source: 0001209191-20-011195 · doc4.xml · nonDerivative · entry 1

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,989

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock originally made on February 15, 2019.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:14 UTC
Stern SadieEVP, Human Resources
GrantCommon Stock 19,773 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-011196 · doc4.xml · nonDerivative · entry 2

Stern Sadie · CIK 0001797971 · EVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,939

F2 · shares: The Reporting Person has been awarded 19,773 shares of restricted stock under the Issuer's 2015 Incentive Plan. One-third of the total shares awarded vest on February 15, 2021, an additional one-third of the total shares awarded vest on February 15, 2022, and the remaining shares awarded vest on February 15, 2023.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:14 UTC
Stern SadieEVP, Human Resources
Tax withholdingCommon Stock 2,488 $12.13 $30,179.44
Disclosure

SEC source: 0001209191-20-011196 · doc4.xml · nonDerivative · entry 1

Stern Sadie · CIK 0001797971 · EVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,166

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock originally made on February 15, 2019.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:12 UTC
Krishnan RadhikaEVP, Healthcare and Software
GrantCommon Stock 23,409 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-011193 · doc4.xml · nonDerivative · entry 2

Krishnan Radhika · CIK 0001797974 · EVP, Healthcare and Software

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,561

F2 · shares: The Reporting Person has been awarded 23,409 shares of restricted stock under the Issuer's 2015 Incentive Plan. One-third of the total shares awarded vest on February 15, 2021, an additional one-third of the total shares awarded vest on February 15, 2022, and the remaining shares awarded vest on February 15, 2023.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:12 UTC
Krishnan RadhikaEVP, Healthcare and Software
Tax withholdingCommon Stock 1,495 $12.13 $18,134.35
Disclosure

SEC source: 0001209191-20-011193 · doc4.xml · nonDerivative · entry 1

Krishnan Radhika · CIK 0001797974 · EVP, Healthcare and Software

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,152

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock originally made on February 15, 2019.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:10 UTC
KOECK HERBERTEVP, Global Go To Market
GrantStock Appreciation Right · Derivative 70,000 $0.00 Strike: $15.75 $0.00
Disclosure

SEC source: 0001209191-20-011187 · doc4.xml · derivative · entry 5

KOECK HERBERT · CIK 0001763539 · EVP, Global Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 70,000 shares

Expires 2026-09-06

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on September 6, 2016, permitting settlement in cash or common stock upon exercise. The exercise of one results in the expiration of the other.

F5 · derivative.exercise_date: The Reporting Person has been awarded 70,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on September 6, 2016 and are exercisable, if at all, on the later of the grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $40.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:10 UTC
KOECK HERBERTEVP, Global Go To Market
GrantStock Appreciation Right · Derivative 70,000 $0.00 Strike: $15.75 $0.00
Disclosure

SEC source: 0001209191-20-011187 · doc4.xml · derivative · entry 4

KOECK HERBERT · CIK 0001763539 · EVP, Global Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2026-09-06

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on September 6, 2016, permitting settlement in cash or common stock upon exercise. The exercise of one results in the expiration of the other.

F4 · derivative.exercise_date: The Reporting Person has been awarded 70,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on September 6, 2016 and are exercisable, if at all, on the later of the grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $30.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:10 UTC
KOECK HERBERTEVP, Global Go To Market
GrantCommon Stock 10,909 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-011187 · doc4.xml · nonDerivative · entry 2

KOECK HERBERT · CIK 0001763539 · EVP, Global Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,235

F2 · shares: The Reporting Person has been awarded 10,909 shares of restricted stock under the Issuer's 2015 Incentive Plan. One-third of the total shares awarded vest on February 15, 2021, an additional one-third of the total shares awarded vest on February 15, 2022, and the remaining shares awarded vest on February 15, 2023.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:10 UTC
KOECK HERBERTEVP, Global Go To Market
Tax withholdingCommon Stock 2,590 $12.13 $31,416.70
Disclosure

SEC source: 0001209191-20-011187 · doc4.xml · nonDerivative · entry 1

KOECK HERBERT · CIK 0001763539 · EVP, Global Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,326

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock originally made on February 15, 2019.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:09 UTC
JOSHI VYOMESHDirector · President and CEO
GrantStock Appreciation Right · Derivative 250,000 $0.00 Strike: $15.12 $0.00
Disclosure

SEC source: 0001209191-20-011181 · doc4.xml · derivative · entry 4

JOSHI VYOMESH · CIK 0001207620 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 250,000 shares

Expires 2026-04-01

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on April 1, 2016, permitting settlement in cash or common stock upon exercise. The exercise of one results in the expiration of the other.

F5 · derivative.exercise_date: The Reporting Person has been awarded 250,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on April 1, 2016 and are exercisable, if at all, on the later of grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $40.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:09 UTC
JOSHI VYOMESHDirector · President and CEO
GrantStock Appreciation Right · Derivative 250,000 $0.00 Strike: $15.12 $0.00
Disclosure

SEC source: 0001209191-20-011181 · doc4.xml · derivative · entry 3

JOSHI VYOMESH · CIK 0001207620 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2026-04-01

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on April 1, 2016, permitting settlement in cash or common stock upon exercise. The exercise of one results in the expiration of the other.

F4 · derivative.exercise_date: The Reporting Person has been awarded 250,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on April 1, 2016 and are exercisable, if at all, on the later of grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $30.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 22:09 UTC
JOSHI VYOMESHDirector · President and CEO
Tax withholdingCommon Stock 9,441 $12.13 $114,519.33
Disclosure

SEC source: 0001209191-20-011181 · doc4.xml · nonDerivative · entry 1

JOSHI VYOMESH · CIK 0001207620 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,481

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock originally made on February 15, 2019.

F2 · balance_after: Excludes 90,528 shares previously owned directly that were contributed to the 2001 Joshi Living Trust u/a/d 12/7/2001, Vyomesh I. Joshi and Uma V. Joshi, Trustees on December 10, 2019.

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February 18, 2020 Filed Feb 20, 2020 22:06 UTC
HULL CHARLES WDirector · EVP, Chief Technology Officer
GrantStock Appreciation Right · Derivative 80,000 $0.00 Strike: $13.25 $0.00
Disclosure

SEC source: 0001209191-20-011172 · doc4.xml · derivative · entry 5

HULL CHARLES W · CIK 0001105964 · Director · EVP, Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 80,000 shares

Expires 2026-07-26

F4 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on July 26, 2016. The exercise of one results in the expiration of the other.

F6 · derivative.exercise_date: The Reporting Person has been awarded 80,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on July 26, 2016 and are exercisable, if at all, on the later of the grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $40.

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February 18, 2020 Filed Feb 20, 2020 22:06 UTC
HULL CHARLES WDirector · EVP, Chief Technology Officer
GrantStock Appreciation Right · Derivative 80,000 $0.00 Strike: $13.25 $0.00
Disclosure

SEC source: 0001209191-20-011172 · doc4.xml · derivative · entry 4

HULL CHARLES W · CIK 0001105964 · Director · EVP, Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2026-07-26

F4 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on July 26, 2016. The exercise of one results in the expiration of the other.

F5 · derivative.exercise_date: The Reporting Person has been awarded 80,000 SARs under the Issuer's 2015 Incentive Plan. These SARs have an exercise price equal to the closing price of the common stock on July 26, 2016 and are exercisable, if at all, on the later of the grant date and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $30.

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February 18, 2020 Filed Feb 20, 2020 22:06 UTC
HULL CHARLES WDirector · EVP, Chief Technology Officer
GrantCommon Stock 27,045 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-011172 · doc4.xml · nonDerivative · entry 2

HULL CHARLES W · CIK 0001105964 · Director · EVP, Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,359

F2 · shares: The Reporting Person has been awarded 27,045 shares of restricted stock under the Issuer's 2015 Incentive Plan. One-third of the total shares awarded vest on February 15, 2021, an additional one-third of the total shares awarded vest on February 15, 2022, and the remaining shares awarded vest on February 15, 2023.

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February 18, 2020 Filed Feb 20, 2020 22:06 UTC
HULL CHARLES WDirector · EVP, Chief Technology Officer
Tax withholdingCommon Stock 2,238 $12.13 $27,146.94
Disclosure

SEC source: 0001209191-20-011172 · doc4.xml · nonDerivative · entry 1

HULL CHARLES W · CIK 0001105964 · Director · EVP, Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,314

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock originally made on February 15, 2019.

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February 18, 2020 Filed Feb 20, 2020 22:07 UTC
Johnson Andrew MartinEVP, Chief Legal Officer & Sec
GrantStock Appreciation Right · Derivative 80,000 $0.00 Strike: $13.25 $0.00
Disclosure

SEC source: 0001209191-20-011178 · doc4.xml · derivative · entry 4

Johnson Andrew Martin · CIK 0001548887 · EVP, Chief Legal Officer & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 80,000 shares

Expires 2026-07-26

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on July 26, 2016, permitting settlement in cash or common stock upon exercise. The exercise of one results in the expiration of the other.

F5 · derivative.exercise_date: The Reporting Person has been awarded 80,000 SARs under the Issuer's 2015 Incentive Plan. Pursuant to the terms of the 2015 Incentive Plan, these SARs have an exercise price equal to the closing price of the common stock on July 26, 2016 and are exercisable, if at all, on the later of the date of grant and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $40.

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February 18, 2020 Filed Feb 20, 2020 22:07 UTC
Johnson Andrew MartinEVP, Chief Legal Officer & Sec
GrantStock Appreciation Right · Derivative 80,000 $0.00 Strike: $13.25 $0.00
Disclosure

SEC source: 0001209191-20-011178 · doc4.xml · derivative · entry 3

Johnson Andrew Martin · CIK 0001548887 · EVP, Chief Legal Officer & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2026-07-26

F3 · security: The Stock Appreciation Right ("SAR") is granted to operate in tandem with the performance-based stock options granted on July 26, 2016, permitting settlement in cash or common stock upon exercise. The exercise of one results in the expiration of the other.

F4 · derivative.exercise_date: The Reporting Person has been awarded 80,000 SARs under the Issuer's 2015 Incentive Plan. Pursuant to the terms of the 2015 Incentive Plan, these SARs have an exercise price equal to the closing price of the common stock on July 26, 2016 and are exercisable, if at all, on the later of the date of grant and the date that the closing price of a share of the common stock on each of the trading days during the immediately prior ninety consecutive calendar days is at least $30.

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February 18, 2020 Filed Feb 20, 2020 22:07 UTC
Johnson Andrew MartinEVP, Chief Legal Officer & Sec
GrantCommon Stock 30,227 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-011178 · doc4.xml · nonDerivative · entry 2

Johnson Andrew Martin · CIK 0001548887 · EVP, Chief Legal Officer & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,788

F2 · shares: The Reporting Person has been awarded 30,227 shares of restricted stock under the Issuer's 2015 Incentive Plan. One-third of the total shares awarded vest on February 15, 2021, an additional one-third of the total shares awarded vest on February 15, 2022, and the remaining shares awarded vest on February 15, 2023.

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February 18, 2020 Filed Feb 20, 2020 22:07 UTC
Johnson Andrew MartinEVP, Chief Legal Officer & Sec
Tax withholdingCommon Stock 2,763 $12.13 $33,515.19
Disclosure

SEC source: 0001209191-20-011178 · doc4.xml · nonDerivative · entry 1

Johnson Andrew Martin · CIK 0001548887 · EVP, Chief Legal Officer & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,561

F1 · shares: Shares reported were withheld to satisfy tax withholding obligations with respect to the vesting of a grant of restricted stock originally made on February 15, 2019.

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February 18, 2020 Filed Feb 20, 2020 22:05 UTC
Booth ToddEVP & Chief Financial Officer
GrantCommon Stock 37,955 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-011167 · doc4.xml · nonDerivative · entry 1

Booth Todd · CIK 0001785850 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,472

F1 · shares: The Reporting Person has been awarded 37,955 shares of restricted stock under the Issuer's 2015 Incentive Plan. One-third of the total shares awarded vest on February 15, 2021; an additional one-third of the total shares awarded will vest on February 15, 2022, and the remaining vest on February 15, 2023.

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December 13, 2019 Filed Dec 17, 2019 21:36 UTC
Booth ToddEVP & Chief Financial Officer
GrantCommon Stock 21,517 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060873 · doc4.xml · nonDerivative · entry 1

Booth Todd · CIK 0001785850 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,517

F1 · shares: The Reporting Person has been awarded shares of restricted stock under the Issuer's 2015 Incentive Plan. 50% of the total shares awarded will vest on December 13, 2020, 25% of the total shares awarded will vest on December 13, 2021, and the remaining 25% of the total shares awarded will vest on December 13, 2022.

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December 13, 2019 Filed Dec 17, 2019 21:41 UTC
SCHULTZ PHILIP C.EVP, Operations
GrantCommon Stock 34,909 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060881 · doc4.xml · nonDerivative · entry 1

SCHULTZ PHILIP C. · CIK 0001763540 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,130

F1 · shares: The Reporting Person has been awarded shares of restricted stock under the Issuer's 2015 Incentive Plan. 50% of the total shares awarded will vest on December 13, 2020, 25% of the total shares awarded will vest on December 13, 2021, and the remaining 25% of the total shares awarded will vest on December 13, 2022.

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December 13, 2019 Filed Dec 17, 2019 21:39 UTC
Johnson Andrew MartinEVP, Chief Legal Officer & Sec
GrantCommon Stock 16,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060878 · doc4.xml · nonDerivative · entry 1

Johnson Andrew Martin · CIK 0001548887 · EVP, Chief Legal Officer & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,324

F1 · shares: The Reporting Person has been awarded shares of restricted stock under the Issuer's 2015 Incentive Plan. 50% of the total shares awarded will vest on December 13, 2020, 25% of the total shares awarded will vest on December 13, 2021, and the remaining 25% of the total shares awarded will vest on December 13, 2022.

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December 13, 2019 Filed Dec 17, 2019 21:40 UTC
KOECK HERBERTEVP, Global Go To Market
GrantCommon Stock 22,876 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060879 · doc4.xml · nonDerivative · entry 1

KOECK HERBERT · CIK 0001763539 · EVP, Global Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,916

F1 · shares: The Reporting Person has been awarded shares of restricted stock under the Issuer's 2015 Incentive Plan. 50% of the total shares awarded will vest on December 13, 2020, 25% of the total shares awarded will vest on December 13, 2021, and the remaining 25% of the total shares awarded will vest on December 13, 2022.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.