Filing Details
- Accession Number:
- 0001019361-13-000034
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2013-05-23 11:10:24
- Reporting Period:
- 2013-05-23
- Filing Date:
- 2013-05-23
- Accepted Time:
- 2013-05-23 11:10:24
- Original Submission Date:
- 2013-02-12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1019361 | Rofin Sinar Technologies Inc | RSTI | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 383306461 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1270552 | Peter Wirth | Rofin-Sinar, Inc. -Lager Lmbh Berze Liusstrabe 83, D-22113 Hamberg Germany 2M 00000 | Chairman Of The Board | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock - Rsti | Acquisiton | 2013-02-11 | 20,000 | $17.11 | 32,600 | No | 4 | M | Direct | |
| Common Stock - Rsti | Disposition | 2013-02-11 | 20,000 | $27.81 | 12,600 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock Rsti | Employee Stock Option Right to Buy | Acquisiton | 2013-02-11 | 20,000 | $17.11 | 20,000 | $17.11 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-03-17 | 2015-03-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock - Rsti | 6,500 | Indirect | Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock Rsti | Employee Stock Option Right to Buy | $26.05 | 2007-03-16 | 2016-03-16 | 0 | 80,000 | Direct |
| Common Stock Rsti | Employee Stock Option Right to Buy | $28.50 | 2008-03-15 | 2017-03-15 | 0 | 20,000 | Direct |
| Common Stock Rsti | Employee Stock Option Right to Buy | $40.20 | 2009-03-19 | 2018-03-19 | 0 | 5,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-03-16 | 0 | 80,000 | Direct |
| 2017-03-15 | 0 | 20,000 | Direct |
| 2018-03-19 | 0 | 5,000 | Direct |
Footnotes
- The original Form 4 filing incorrectly listed this transaction as an Open market or private purchase of non-derivative or derivative security (Code P) instead of listing it as Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 (Code M). This filing corrects that incorrect Code.
- Shares 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. Shares were all sold in individual transactions between $27.78 and $27.92. Average price for the shares sold was $27.8137.
- Value represents the exercise price of the shares granted under the Plan.
- Grants 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.
- Number 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.
- No transaction being reported at this time - only reporting holdings as of this date.
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