SEC Form 4 · accession 0001111928-18-000130
IPG PHOTONICS CORP · IPGP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Burgomaster
Officer — Chief Accounting Officer
Period of report
Feb 28, 2014
Accepted (ET)
Oct 31, 2018 · 4:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001111928
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 28, 2014 | A | 700 | $0.00 | A | 6,037 | D | |
| Common Stock | Mar 31, 2014 | F | 55 | $71.08 | D | 5,982 | D | |
| Common StockF2 | Jun 30, 2014 | F | 55 | $68.80 | D | 6,091 | D | |
| Common Stock | Sep 30, 2014 | F | 55 | $68.78 | D | 6,036 | D | |
| Common StockF3 | Dec 31, 2014 | F | 55 | $74.92 | D | 6,162 | D | |
| Common Stock | Jan 5, 2015 | M | 2,900 | $10.27 | A | 9,062 | D | |
| Common StockF4 | Jan 5, 2015 | S | 2,900 | $72.92 | D | 6,162 | D | |
| Common Stock | Jan 5, 2015 | M | 2,231 | $15.82 | A | 8,393 | D | |
| Common Stock | Jan 5, 2015 | S | 2,231 | $73.00 | D | 6,162 | D | |
| Common StockF5 | Jan 12, 2015 | S | 662 | $71.43 | D | 5,500 | D | |
| Common Stock | Jan 23, 2015 | M | 2,232 | $15.82 | A | 7,732 | D | |
| Common Stock | Jan 23, 2015 | S | 2,232 | $75.19 | D | 5,500 | D | |
| Common Stock | Jan 23, 2015 | S | 1,125 | $75.13 | D | 4,375 | D | |
| Common Stock | Feb 6, 2015 | M | 2,500 | $21.35 | A | 6,875 | D | |
| Common Stock | Feb 6, 2015 | S | 2,500 | $80.09 | D | 4,375 | D | |
| Common Stock | Feb 9, 2015 | M | 2,500 | $21.35 | A | 6,875 | D | |
| Common Stock | Feb 9, 2015 | S | 2,500 | $85.32 | D | 4,375 | D | |
| Common StockF6 | Feb 25, 2015 | A | 1,166 | $0.00 | A | 5,541 | D | |
| Common Stock | Mar 31, 2015 | F | 222 | $92.70 | D | 5,319 | D | |
| Common StockF7 | Jun 30, 2015 | F | 222 | $85.18 | D | 5,265 | D | |
| Common Stock | Sep 30, 2015 | F | 221 | $75.97 | D | 5,044 | D | |
| Common Stock | Nov 11, 2015 | M | 637 | $15.82 | A | 5,681 | D | |
| Common Stock | Nov 11, 2015 | S | 637 | $90.85 | D | 5,044 | D | |
| Common Stock | Nov 27, 2015 | S | 200 | $92.48 | D | 4,844 | D | |
| Common Stock | Dec 2, 2015 | S | 294 | $93.70 | D | 4,550 | D | |
| Common StockF8 | Dec 31, 2015 | F | 222 | $89.16 | D | 4,475 | 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 buy)F9 | $71.77 | Feb 28, 2014 | A | 4,400 | A | — | Feb 28, 2024 | Common Stock | 4,400 | 4,400 | D |
| Employee Stock Option (right to buy)F10 | $10.27 | Jan 5, 2015 | M | 2,900 | D | — | May 7, 2019 | Common Stock | 2,900 | 0 | D |
| Employee Stock Option (right to buy)F11 | $15.82 | Jan 5, 2015 | M | 2,231 | D | — | Feb 26, 2020 | Common Stock | 2,231 | 2,869 | D |
| Employee Stock Option (right to buy)F11 | $15.82 | Jan 23, 2015 | M | 2,232 | D | — | Feb 26, 2020 | Common Stock | 2,232 | 637 | D |
| Employee Stock Option (right to buy)F12 | $21.35 | Feb 6, 2015 | M | 2,500 | D | — | Aug 5, 2020 | Common Stock | 2,500 | 8,750 | D |
| Employee Stock Option (right to buy)F12 | $21.35 | Feb 9, 2015 | M | 2,500 | D | — | Aug 5, 2020 | Common Stock | 2,500 | 6,250 | D |
| Employee Stock Option (right to buy)F13 | $97.65 | Feb 25, 2015 | A | 2,331 | A | — | Feb 25, 2025 | Common Stock | 2,331 | 2,331 | D |
| Employee Stock Option (right to buy)F11 | $15.82 | Nov 11, 2015 | M | 637 | D | — | Feb 26, 2020 | Common Stock | 637 | 0 | D |
Explanation of responses
- F1Grant of restricted stock units vesting March 1, 2018.
- F10Options vest 25% May 7, 2010, 25% May 2, 2011 and 50% May 7, 2012.
- F11Options vest eight equal quarterly installments commencing March 31, 2013.
- F12Options vest 25% on August 5, 2011 and the remaining amount in fourteen equal monthly amounts commencing September 30, 2011.
- F13Options vest March 1, 2019.
- F2Includes 164 shares acquired under the IPG employee stock purchase plan on June 30, 2014.
- F3Includes 181 shares acquired under the IPG employee stock purchase plan on December 31, 2014.
- F4The reported transaction involves purchase transactions from $72.89 to $72.96 per share. The weighted average price per share was $72.92. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer information regarding the number of shares purchased at each separate price.
- F5The reported transaction involves purchase transactions from $70.27 to $75.13 per share. The weighted average price per share was $71.43. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer information regarding the number of shares purchased at each separate price.
- F6Grant of restricted stock units vesting March 1, 2019.
- F7Includes 168 shares acquired under the IPG employee stock purchase plan in June 30, 2015.
- F8Includes 147 shares acquired under the IPG employee stock purchase plan on December 31, 2015.
- F9Options vesting March 1, 2018.