0001214659-21-001371.txt : 20210205 0001214659-21-001371.hdr.sgml : 20210205 20210205061051 ACCESSION NUMBER: 0001214659-21-001371 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20210205 DATE AS OF CHANGE: 20210205 GROUP MEMBERS: NIKKO ASSET MANAGEMENT CO., LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ExOne Co CENTRAL INDEX KEY: 0001561627 STANDARD INDUSTRIAL CLASSIFICATION: PRINTING TRADES MACHINERY & EQUIPMENT [3555] IRS NUMBER: 261480640 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87335 FILM NUMBER: 21593362 BUSINESS ADDRESS: STREET 1: 127 INDUSTRY BOULEVARD CITY: NORTH HUNTINGDON STATE: PA ZIP: 15642 BUSINESS PHONE: 724-863-9663 MAIL ADDRESS: STREET 1: 127 INDUSTRY BOULEVARD CITY: NORTH HUNTINGDON STATE: PA ZIP: 15642 FORMER COMPANY: FORMER CONFORMED NAME: Ex One Co DATE OF NAME CHANGE: 20130104 FORMER COMPANY: FORMER CONFORMED NAME: Ex One Company, LLC DATE OF NAME CHANGE: 20121105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Sumitomo Mitsui Trust Holdings, Inc. CENTRAL INDEX KEY: 0001475365 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 000000000 STATE OF INCORPORATION: M0 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1-1, SHIBAKOEN, 1-CHOME CITY: MINATO-KU, TOKYO STATE: M0 ZIP: 105-0011 BUSINESS PHONE: 81-3-6256-6000 MAIL ADDRESS: STREET 1: 1-4-1, MARUNOUCHI CITY: CHIYODA-KU, TOKYO STATE: M0 ZIP: 100-8233 FORMER COMPANY: FORMER CONFORMED NAME: Chuo Mitsui Trust Holdings, Inc. DATE OF NAME CHANGE: 20091027 SC 13G/A 1 xone21216sc13ga1.htm AMENDMENT NO. 1

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

________________

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1 )*

The ExOne Company

(Name of Issuer)

Common Stock, par value $0.01 per share

(Title of Class of Securities)

302104104

(CUSIP Number)

December 31, 2020

(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

x Rule 13d-1(b)

o Rule 13d-1(c)

o Rule 13d-1(d)

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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CUSIP No. 302104104

13G

1.	NAMES OF REPORTING PERSONS Sumitomo Mitsui Trust Holdings, Inc. (“SMTH”)
2.	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) o
		(b) o
3.	SEC USE ONLY
4.	CITIZENSHIP OR PLACE OF ORGANIZATION Japan

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH	5.	SOLE VOTING POWER 0
	6.	SHARED VOTING POWER 1,457,036
	7.	SOLE DISPOSITIVE POWER 0
	8.	SHARED DISPOSITIVE POWER 1,457,036

9.	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,457,036
10.	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) o
11.	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.59 %
12.	TYPE OF REPORTING PERSON (see instructions) HC, FI

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CUSIP No. 302104104

13G

1.	NAMES OF REPORTING PERSONS Nikko Asset Management Co., Ltd. (“NAM”)
2.	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) o
		(b) o
3.	SEC USE ONLY
4.	CITIZENSHIP OR PLACE OF ORGANIZATION Japan

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH	5.	SOLE VOTING POWER 0
	6.	SHARED VOTING POWER 1,457,036
	7.	SOLE DISPOSITIVE POWER 0
	8.	SHARED DISPOSITIVE POWER 1,457,036

9.	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,457,036
10.	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) o
11.	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.59 %
12.	TYPE OF REPORTING PERSON IA, HC, FI

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Item 1(a).

Name of Issuer:

The ExOne Company

Item 1(b).

Address of Issuer’s Principal Executive Offices:

127 Industry Boulevard North Huntingdon, PA 15642 United States

Item 2(a).

Name of Person Filing:

Sumitomo Mitsui Trust Holdings, Inc.

Nikko Asset Management Co., Ltd.

Item 2(b).

Address of Principal Business Office or, if None, Residence:

SMTH: 1-4-1 Marunouchi, Chiyoda-ku, Tokyo 100-8233, Japan

NAM: Midtown Tower, 9-7-1 Akasaka, Minato-ku, Tokyo 107-6242, Japan

Item 2(c).

Citizenship:

SMTH: Japan

NAM: Japan

Item 2(d).

Title of Class of Securities:

Common Stock, par value $0.01 per share

Item 2(e).

CUSIP Number:

302104104

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Item 3.

If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

SMTH:

(a)	o	Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);

(b)	o	Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);

(c)	o	Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);

(d)	o	Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

(e)	o	An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)	o	An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)	x	A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

(h)	o	A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)	o	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j)	x	A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);

(k)	o	Group, in accordance with §240.13d-1(b)(1)(ii)(K).

If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: Parent Holding Company

NAM:

(a)	o	Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);

(b)	o	Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);

(c)	o	Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);

(d)	o	Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

(e)	x	An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)	o	An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)	x	A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

(h)	o	A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)	o	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j)	x	A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);

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(k)	o	Group, in accordance with §240.13d-1(b)(1)(ii)(K) .

If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment Adviser, Parent Holding Company

Item 4.

Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of issuer identified in Item 1.

SMTH:

(a)		Amount beneficially owned: 1,457,036

(b)		Percent of class: 7.59%

(c)		Number of shares as to which such person has:

	(i)	Sole power to vote or to direct the vote: 0

	(ii)	Shared power to vote or to direct the vote: 1,457,036

	(iii)	Sole power to dispose or to direct the disposition of: 0

	(iv)	Shared power to dispose or to direct the disposition of: 1,457,036

NAM:

(a)		Amount beneficially owned: 1,457,036

(b)		Percent of class: 7.59%

(c)		Number of shares as to which such person has:

	(i)	Sole power to vote or to direct the vote: 0

	(ii)	Shared power to vote or to direct the vote: 1,457,036

	(iii)	Sole power to dispose or to direct the disposition of: 0

	(iv)	Shared power to dispose or to direct the disposition of: 1,457,036

Page 6 of 9

Item 5.

Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. o

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

See Exhibit A.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

See Exhibit A.

Item 8.

Identification and Classification of Members of the Group.

Not applicable.

Item 9.

Notice of Dissolution of Group.

Not applicable.

Item 10.

Certifications.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

Page 7 of 9

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 5, 2021

	Sumitomo Mitsui Trust Holdings, Inc.
	(Company)

	/s/ Tomokazu Kusumi
	(Signature) Tomokazu Kusumi / Senior Manager of Risk Management Dept
	(Name/Title)

	Nikko Asset Management Co.,Ltd
	(Company)

	/s/ Masahito Tonegawa
	(Signature) Masahito Tonegawa / Head of Business Regulatory Compliance
	(Name/Title)

Page 8 of 9

Exhibit A

Pursuant to the instructions in Item 6 and Item 7 of Schedule 13G, the securities being reported on by each of SMTH and NAM, as parent holding companies, are owned, or may be deemed to be beneficially owned, by their subsidiary Nikko Asset Management Americas, Inc., which is classified as an investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).

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