SEC Form 4 · accession 0001019361-15-000010
ROFIN SINAR TECHNOLOGIES INC · RSTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gunther Braun
Officer — CEO & President · Director
Period of report
Mar 2, 2015
Accepted (ET)
Mar 3, 2015 · 1:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001019361
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock - RSTI | Mar 2, 2015 | M | 80,000 | $17.11 | A | 86,000 | D | |
| Common Stock - RSTIF1 | Mar 2, 2015 | F | 57,105 | $23.97 | D | 28,895 | D | |
| Common Stock - RSTI | Mar 2, 2015 | M | 20,000 | $15.825 | A | 48,895 | D | |
| Common Stock - RSTIF2 | Mar 2, 2015 | F | 13,204 | $23.97 | D | 35,691 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option Right to BuyF3,F4 | $17.11 | Mar 2, 2015 | M | 80,000 | D | Mar 17, 2016 | Mar 17, 2015 | Common Stock-RSTI | 80,000 | 0 | D |
| Employee Stock Option Right to BuyF3,F4 | $15.825 | Mar 2, 2015 | M | 20,000 | D | May 4, 2006 | May 4, 2015 | Common Stock-RSTI | 20,000 | 0 | D |
| Employee Stock Option Right to BuyF6,F3,F4,F5 | $26.045 | holding | — | — | — | Mar 16, 2007 | Mar 16, 2016 | Common Stock-RSTI | 0 | 100,000 | D |
| Employee Stock Option Right to BuyF6,F3,F4,F5 | $28.50 | holding | — | — | — | Mar 15, 2008 | Mar 15, 2017 | Common Stock-RSTI | 0 | 100,000 | D |
| Employee Stock Option Right to BuyF6,F3,F4,F5 | $40.20 | holding | — | — | — | Mar 19, 2009 | Mar 19, 2018 | Common Stock-RSTI | 0 | 60,000 | D |
| Employee Stock Option Right to BuyF6,F3,F4,F5 | $15.04 | holding | — | — | — | Mar 18, 2010 | Mar 18, 2019 | Common Stock-RSTI | 0 | 40,000 | D |
| Employee Stock Option Right to BuyF7,F3,F4,F5 | $22.83 | holding | — | — | — | Mar 17, 2011 | Mar 17, 2020 | Common Stock-RSTI | 0 | 50,000 | D |
| Employee Stock Option Right to BuyF8,F3,F4,F5 | $35.19 | holding | — | — | — | Mar 16, 2012 | Mar 16, 2021 | Common Stock-RSTI | 0 | 50,000 | D |
| Employee Stock Option Right to BuyF9,F3,F4,F5 | $25.95 | holding | — | — | — | Mar 15, 2013 | Mar 15, 2022 | Common Stock-RSTI | 0 | 50,000 | D |
| Employee Stock Option Right to BuyF10,F3,F4,F5 | $27.59 | holding | — | — | — | Mar 14, 2014 | Mar 14, 2023 | Common stock-RSTI | 0 | 60,000 | D |
| Employee Stock Option Right to BuyF11,F3,F4,F5 | $25.19 | holding | — | — | — | Nov 6, 2014 | Nov 6, 2023 | Common Stock-RSTI | 0 | 40,000 | D |
| Employee Stock Option Right to BuyF12,F3,F4,F5 | $22.75 | holding | — | — | — | Nov 11, 2015 | Nov 11, 2024 | Common Stock-RSTI | 0 | 40,000 | D |
Explanation of responses
- F1Represents a net exercise of outstanding stock options. 57,105 shares were withheld by the Company for payment of the exercise price using the clsoing price on February 27, 2015 of $23.97.
- F10Number represents the number of available shares remaining under the particular grant date. 12,000 shares are currently vested and exercisable and the remaining 48,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F11Number represents the number of available shares remaining under the particular grant date. 8,000 shares are currently vested and exercisable and the remaining 32,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F12Number represents the number of available shares remaining under the particular grant date. Shares are not yet vested or beneficially owned, only outstanding under the plan.
- F2Represents a net exercise of outstanding stock options. 13,204 shares were withheld by the Company for payment of the exercise price using the clsoing price on February 27, 2015 of $23.97.
- F3Value represents the exercise price of the shares granted under the Plan.
- F4Grants to purchase shares of common stock under the Plan are exercisable in 20% increments on each of the first five anniversaries of the date of grant and expire following the tenth anniversary of the date of grant.
- F5No transaction being reported at this time - only reporting holdings as of this date.
- F6Number represents the number of remaining outstanding shares under the particular grant date. Shares are vested but not yet beneficially owned, only outstanding under the plan.
- F7Number represents the number of available shares remaining under the particular grant date. 40,000 shares are currently vested and exercisable and the remaining 10,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F8Number represents the number of available shares remaining under the particular grant date. 30,000 shares are currently vested and exercisable and the remaining 20,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F9Number represents the number of available shares remaining under the particular grant date. 20,000 shares are currently vested and exercisable and the remaining 30,000 shares have not yet vested. None of these shares are beneficially owned yet.