SEC Form 4/A · accession 0001019361-15-000079
ROFIN SINAR TECHNOLOGIES INC · RSTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Thomas Merk
Officer — President & CEO
Period of report
Nov 24, 2015
Accepted (ET)
Dec 2, 2015 · 5:56 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,F3 | Nov 24, 2015 | M | 50,000 | $26.045 | A | 54,293 | D | |
| Common Stock - RSTIF1,F2 | Nov 24, 2015 | S | 50,000 | $28.1034 | D | 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 BuyF2,F3,F5,F4 | $26.045 | Nov 24, 2015 | M | 50,000 | A | Mar 16, 2007 | Mar 16, 2016 | Common Stock - RSTI | 50,000 | 0 | D |
| Employee Stock Option Right to BuyF5,F3,F4,F6 | $28.50 | holding | — | — | — | Mar 15, 2008 | Mar 15, 2017 | Common Stock - RSTI | 0 | 60,000 | D |
| Employee Stock Option Right to BuyF5,F3,F4,F6 | $40.20 | holding | — | — | — | Mar 19, 2009 | Mar 19, 2018 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF5,F3,F4,F6 | $15.04 | holding | — | — | — | Mar 18, 2010 | Mar 18, 2019 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF5,F3,F4,F6 | $22.83 | holding | — | — | — | Mar 17, 2011 | Mar 17, 2020 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF7,F3,F4,F6 | $35.19 | holding | — | — | — | Mar 16, 2012 | Mar 16, 2021 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF8,F3,F4,F6 | $25.95 | holding | — | — | — | Mar 15, 2013 | Mar 15, 2022 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF9,F3,F4,F6 | $27.59 | holding | — | — | — | Mar 14, 2014 | Mar 14, 2023 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF9,F3,F4,F6 | $25.19 | holding | — | — | — | Nov 6, 2014 | Nov 6, 2023 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF10,F3,F4,F6 | $22.75 | holding | — | — | — | Nov 11, 2015 | Nov 11, 2024 | Common Stock - RSTI | 0 | 30,000 | D |
| Employee Stock Option Right to BuyF11,F3,F4,F6 | $27.44 | holding | — | — | — | Jul 1, 2016 | Jul 1, 2025 | Common Stock - RSTI | 0 | 20,000 | D |
| Employee Stock Option Right to BuyF11,F3,F4,F6 | $29.68 | holding | — | — | — | Nov 10, 2016 | Nov 10, 2025 | Common Stock - RSTI | 0 | 40,000 | D |
Explanation of responses
- F1This amended filing is being made to correct for an administrative error in which direct holders as of the date of the original report were not disclosed. All other information remains the same.
- F10Number 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.
- F11Number 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.
- F2Shares 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 at an average price of $28.1034 with a high price being $28.42 and the low price being $28.10.
- 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.
- F5Number 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.
- F6No transaction being reported at this time - only reporting holdings as of this date.
- F7Number 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.
- F8Number 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.
- F9Number 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.