Filing Details
- Accession Number:
- 0001019361-15-000078
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2015-12-02 17:28:36
- Reporting Period:
- 2015-11-30
- Filing Date:
- 2015-12-02
- Accepted Time:
- 2015-12-02 17:28:36
- Original Submission Date:
- 2015-12-01
- 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 |
|---|---|---|---|---|---|---|---|
| 1427794 | Ulrich Hefter | Dieselstrabe 15 Bergkirchen 2M 85232 | Cto | No | 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 | 2015-11-30 | 40,000 | $26.05 | 48,586 | No | 4 | M | Direct | |
| Common Stock - Rsti | Disposition | 2015-11-30 | 40,000 | $29.01 | 8,586 | 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 | 2015-11-30 | 40,000 | $26.05 | 40,000 | $26.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2007-03-16 | 2016-03-16 | No | 4 | M | Direct |
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 | $28.50 | 2008-03-15 | 2017-03-15 | 0 | 50,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $40.20 | 2009-03-19 | 2018-03-19 | 0 | 25,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $15.04 | 2010-03-18 | 2019-03-18 | 0 | 25,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $22.83 | 2011-03-17 | 2020-03-17 | 0 | 25,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $35.19 | 2012-03-16 | 2021-03-16 | 0 | 25,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $25.95 | 2013-03-15 | 2022-03-15 | 0 | 25,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $27.59 | 2014-03-14 | 2023-03-14 | 0 | 25,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $25.19 | 2014-11-06 | 2023-11-06 | 0 | 20,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $22.75 | 2015-11-11 | 2024-11-11 | 0 | 20,000 | Direct |
| Common Stock - Rsti | Employee Stock Option Right to Buy | $29.68 | 2016-11-10 | 2025-11-10 | 0 | 20,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-03-15 | 0 | 50,000 | Direct |
| 2018-03-19 | 0 | 25,000 | Direct |
| 2019-03-18 | 0 | 25,000 | Direct |
| 2020-03-17 | 0 | 25,000 | Direct |
| 2021-03-16 | 0 | 25,000 | Direct |
| 2022-03-15 | 0 | 25,000 | Direct |
| 2023-03-14 | 0 | 25,000 | Direct |
| 2023-11-06 | 0 | 20,000 | Direct |
| 2024-11-11 | 0 | 20,000 | Direct |
| 2025-11-10 | 0 | 20,000 | Direct |
Footnotes
- This amended filing is being made to correct for an administrative error in which direct holdings as of the date of the original report were not disclosed. All other information remains the same.
- 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 at an average price of $29.0141 (with a high price of $29.17 and a low price of $29.00)
- 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
- Number 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.
- Number 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.
- Number 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.
- Number represents the number of available shares remaining under the particular grant date. 8,000 shares are currently vested and exercisable and the remaining 12,000 shares have not yet vested. None of these shares are beneficially owned yet.
- Number represents the number of available shares remaining under the particular grant date. 4,000 shares are currently vested and exercisable and the remaining 16,000 shares have not yet vested. None of these shares are beneficially owned yet.
- Number 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.
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