SEC Form 4 · accession 0001019361-15-000034
ROFIN SINAR TECHNOLOGIES INC · RSTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Merk
Officer — CEO & President & COO Mic & Ma · Director
Period of report
Jul 1, 2015
Accepted (ET)
Jul 2, 2015 · 11:50 am EDT
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 - Rofin-Sinar Technologies Inc. | holding | — | — | — | 4,293 | 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 BuyF10,F9,F2 | $27.44 | Jul 1, 2015 | A | 20,000 | A | Jul 1, 2016 | Jul 1, 2025 | Common Stock - RSTI | 20,000 | 20,000 | D |
| Employee Stock Option Right to BuyF4,F1,F2,F3 | $26.045 | holding | — | — | — | Mar 16, 2007 | Mar 16, 2016 | Common Stock - RSTI | 0 | 50,000 | D |
| Employee Stock Option Right to BuyF4,F1,F2,F3 | $28.50 | holding | — | — | — | Mar 15, 2008 | Mar 15, 2017 | Common Stock - RSTI | 0 | 60,000 | D |
| Employee Stock Option Right to BuyF4,F1,F2,F3 | $40.20 | holding | — | — | — | Mar 19, 2009 | Mar 19, 2018 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF4,F1,F2,F3 | $15.04 | holding | — | — | — | Mar 18, 2010 | Mar 18, 2019 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF4,F1,F2,F3 | $22.83 | holding | — | — | — | Mar 17, 2011 | Mar 17, 2020 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF5,F1,F2,F3 | $35.19 | holding | — | — | — | Mar 16, 2012 | Mar 16, 2021 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF6,F1,F2,F3 | $25.95 | holding | — | — | — | Mar 15, 2013 | Mar 15, 2022 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF7,F1,F2,F3 | $27.59 | holding | — | — | — | Mar 14, 2014 | Mar 14, 2023 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF8,F1,F2,F3 | $25.19 | holding | — | — | — | Nov 6, 2014 | Nov 6, 2023 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF9,F1,F2,F3 | $22.75 | holding | — | — | — | Nov 11, 2015 | Nov 11, 2024 | Common Stock - RSTI | 0 | 30,000 | D |
Explanation of responses
- F1Value represents the exercise price of the shares granted under the Plan.
- F10On July 1, 2015, Mr. Merk assumed the role of CEO & President of RSTI. 20,000 shares of stock option grants were awarded on that date. The value of the grants was determined as of the close of business on July 1, 2015.
- F2Grants 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.
- F3No transaction being reported at this time - only reporting holdings as of this date.
- F4Number represents the number of available shares remaining under the particular grant date. Shares are vested but not yet beneficially owned, only outstanding under the plan.
- F5Number represents the number of available shares remaining under the particular grant date. 24,000 shares are currently vested and exercisable and the remaining 6,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F6Number represents the number of available shares remaining under the particular grant date. 18,000 shares are currently vested and exercisable and the remaining 12,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F7Number represents the number of available shares remaining under the particular grant date. 12,000 shares are currently vested and exercisable and the remaining 18,000 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. 6,000 shares are currently vested and exercisable and the remaining 24,000 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. Shares are not yet vested or beneficially owned, only outstanding under the plan.