SEC Form 4 · accession 0001019361-15-000069
ROFIN SINAR TECHNOLOGIES INC · RSTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis Molnar
Officer — COO North America
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 5:33 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 - RSTIF1,F2 | Nov 20, 2015 | M | 5,000 | $26.045 | A | 5,000 | D | |
| Common Stock - RSTIF1,F3 | Nov 20, 2015 | S | 5,000 | $28.20 | D | 0 | D | |
| Common Stock - RSTIF1,F2 | Nov 23, 2015 | M | 17,000 | $26.045 | A | 17,000 | D | |
| Common Stock - RSTIF1,F4 | Nov 23, 2015 | S | 17,000 | $28.0958 | D | 0 | 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 BuyF5,F2,F7,F6,F1 | $26.045 | Nov 20, 2015 | M | 22,000 | A | Mar 16, 2007 | Mar 16, 2016 | Common Stock - RSTI | 22,000 | 0 | D |
| Employee Stock Option Right to BuyF9,F2,F6,F8 | $28.50 | holding | — | — | — | Mar 15, 2008 | Mar 15, 2017 | Common Stock - RSTI | 0 | 50,000 | D |
| Employee Stock Option Right to BuyF9,F2,F6,F8 | $40.20 | holding | — | — | — | Mar 19, 2009 | Mar 19, 2018 | Common Stock - RSTI | 0 | 25,000 | D |
| Employee Stock Option Right to BuyF9,F2,F6,F8 | $15.04 | holding | — | — | — | Mar 18, 2010 | Mar 18, 2019 | Common Stock - RSTI | 0 | 5,000 | D |
| Employee Stock Option Right to BuyF9,F2,F6,F8 | $22.83 | holding | — | — | — | Mar 17, 2011 | Mar 17, 2020 | Common Stock - RSTI | 0 | 25,000 | D |
| Employee Stock Option Right to BuyF10,F2,F6,F8 | $35.19 | holding | — | — | — | Mar 16, 2012 | Mar 16, 2021 | Common Stock - RSTI | 0 | 25,000 | D |
| Employee Stock Option Right to BuyF11,F2,F6,F8 | $25.95 | holding | — | — | — | Mar 15, 2013 | Mar 15, 2022 | Common Stock - RSTI | 0 | 25,000 | D |
| Employee Stock Option Right to BuyF12,F2,F6,F8 | $27.59 | holding | — | — | — | Mar 14, 2014 | Mar 14, 2023 | Common Stock - RSTI | 0 | 25,000 | D |
| Employee Stock Option Right to BuyF12,F2,F6,F8 | $25.19 | holding | — | — | — | Nov 6, 2014 | Nov 6, 2023 | Common Stock - RSTI | 0 | 25,000 | D |
| Employee Stock Option Right to BuyF13,F2,F6,F8 | $22.75 | holding | — | — | — | Nov 11, 2015 | Nov 11, 2024 | Common Stock - RSTI | 0 | 25,000 | D |
| Employee Stock Option Right to BuyF14,F2,F6,F8 | $29.68 | holding | — | — | — | Nov 10, 2016 | Nov 10, 2025 | Common Stock - RSTI | 0 | 25,000 | D |
Explanation of responses
- F1Shares were exercised under the Rofin-Sinar Technologies Inc. Equity Incentive Plan (the Plan). Shares were purchased at the exercise price and then sold at the market price on the same day.
- F10Number represents the number of available shares remaining under the particular grant date. 20,000 shares are currently vested and exercisable and the remaining 5,000 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. 15,000 shares are currently vested and exercisable and the remaining 10,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F12Number represents the number of available shares remaining under the particular grant date. 10,000 shares are currently vested and exercisable and the remaining 15,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F13Number represents the number of available shares remaining under the particular grant date. 5,000 shares are currently vested and exercisable and the remaining 20,000 shares have not yet vested. None of these shares are beneficially owned yet.
- F14Number 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.
- F2Value represents the exercise price of the shares granted under the Plan.
- F3Shares were sold at the market price on the same day.
- F4Shares were sold at the market price on the same day at an average price of $28.0958 with the high price being $28.205 and the low price being $27.95
- F55,000 shares were purchased on 11/20/15 and 17,000 shares were purchased on 11/23/15 under the Plan.
- F6Grants 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.
- F7Number represents the number of remaining outstanding shares under the particular grant date.
- F8No transaction being reported at this time - only reporting holdings as of this date.
- F9Number 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.