SEC Form 4 · accession 0001019361-15-000056
ROFIN SINAR TECHNOLOGIES INC · RSTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Merk
Officer — CEO
Period of report
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 5:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001019361
Table I — non-derivative securities
No Table I lines on this filing.
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 BuyF9,F8,F1 | $29.68 | Nov 10, 2015 | A | 40,000 | A | Nov 10, 2016 | Nov 10, 2025 | Common Stock - RSTI | 40,000 | 40,000 | D |
| Employee Stock Option Right to BuyF3,F1,F2 | $26.045 | holding | — | — | — | Mar 16, 2007 | Mar 16, 2016 | Common Stock - RSTI | 0 | 50,000 | D |
| Employee Stock Option Right to BuyF3,F1,F2 | $28.50 | holding | — | — | — | Mar 15, 2008 | Mar 15, 2017 | Common Stock - RSTI | 0 | 60,000 | D |
| Employee Stock Option Right to BuyF3,F1,F2 | $40.20 | holding | — | — | — | Mar 19, 2009 | Mar 19, 2018 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF3,F1,F2 | $15.04 | holding | — | — | — | Mar 18, 2010 | Mar 18, 2019 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF3,F1,F2 | $22.83 | holding | — | — | — | Mar 17, 2011 | Mar 17, 2020 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF4,F1,F2 | $35.19 | holding | — | — | — | Mar 16, 2012 | Mar 16, 2021 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF5,F1,F2 | $25.95 | holding | — | — | — | Mar 15, 2013 | Mar 15, 2022 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF6,F1,F2 | $27.59 | holding | — | — | — | Mar 14, 2014 | Mar 14, 2023 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF6,F1,F2 | $25.19 | holding | — | — | — | Nov 6, 2014 | Nov 6, 2023 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF7,F1,F2 | $22.75 | holding | — | — | — | Nov 11, 2015 | Nov 11, 2024 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF8,F1,F2 | $27.44 | holding | — | — | — | Jul 1, 2016 | Jul 1, 2025 | Common Stock - RSTI | 0 | 20,000 | D |
Explanation of responses
- F1Grants 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.
- F2No transaction being reported at this time - only reporting holdings as of this date.
- F3Number 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.
- F4Number 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.
- F5Number 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.
- F6Number 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.
- F7Number 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.
- F8Number 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.
- F9On November 10, 2015, stock option grants were awarded. The value of the grants was determined as of the close of business on that date.