Statement of Changes in Beneficial Ownership (4)
October 31 2018 - 4:27PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Burgomaster Thomas J
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2. Issuer Name
and
Ticker or Trading Symbol
IPG PHOTONICS CORP
[
IPGP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Accounting Officer
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(Last)
(First)
(Middle)
50 OLD WEBSTER ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2016
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(Street)
OXFORD, MA 01540
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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2/18/2016
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A
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1215
(1)
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A
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$0
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5690
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D
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Common Stock
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3/18/2016
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M
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900
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A
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$21.35
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6590
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D
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Common Stock
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3/18/2016
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S
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900
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D
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$95.04
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5690
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D
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Common Stock
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3/28/2016
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M
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1600
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A
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$21.35
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7290
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D
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Common Stock
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3/28/2016
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S
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1600
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D
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$95.21
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5690
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D
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Common Stock
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3/31/2016
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F
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90
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D
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$96.08
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5600
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D
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Common Stock
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4/26/2016
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M
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2500
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A
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$53.76
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8100
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D
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Common Stock
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4/26/2016
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S
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2500
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D
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$100.36
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5600
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D
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Common Stock
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6/30/2016
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F
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90
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D
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$80
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5655
(2)
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D
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Common Stock
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9/30/2016
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F
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90
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D
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$82.35
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5565
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D
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Common Stock
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12/31/2016
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F
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90
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D
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$98.71
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5631
(3)
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D
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Common Stock
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2/17/2017
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A
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814
(4)
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A
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$0
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6445
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D
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Common Stock
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3/1/2017
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F
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265
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D
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$120.75
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6180
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D
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Common Stock
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6/5/2017
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M
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3750
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A
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$21.35
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9930
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D
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Common Stock
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6/5/2017
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S
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3750
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D
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$141.44
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6180
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D
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Common Stock
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6/6/2017
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M
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1102
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A
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$53.76
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7282
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D
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Common Stock
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6/6/2017
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S
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1102
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D
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$145.48
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6180
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D
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Common Stock
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6/7/2017
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M
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1571
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A
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$53.76
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7751
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D
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Common Stock
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6/7/2017
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S
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1571
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D
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$145.06
(5)
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6180
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D
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Common Stock
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6/8/2017
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M
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326
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A
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$53.76
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6506
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D
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Common Stock
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6/8/2017
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S
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326
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D
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$145.32
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6180
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D
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Common Stock
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6/15/2017
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S
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1669
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D
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$137.82
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4511
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D
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Common Stock
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7/7/2017
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M
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3001
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A
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$53.76
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7512
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D
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Common Stock
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7/7/2017
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S
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3001
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D
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$150.52
(6)
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4637
(7)
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D
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Common Stock
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2/22/2018
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A
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523
(8)
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A
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$0
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5246
(9)
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D
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Common Stock
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3/1/2018
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F
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219
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D
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$243.96
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5027
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D
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Common Stock
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3/1/2018
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F
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64
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D
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$243.96
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4963
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$81.89
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2/18/2016
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A
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2431
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(10)
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2/18/2026
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Common Stock
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2431.0
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$0
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2431
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D
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Employee Stock Option (right to buy)
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$21.35
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3/18/2016
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M
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900
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(11)
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8/5/2020
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Common Stock
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900.0
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$0
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5350
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D
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Employee Stock Option (right to buy)
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$21.35
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3/28/2016
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M
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1600
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(11)
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8/5/2020
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Common Stock
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1600.0
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$0
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3750
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D
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Employee Stock Option (right to buy)
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$53.76
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4/26/2016
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M
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2500
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(12)
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3/1/2021
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Common Stock
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2500.0
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$0
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8400
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D
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Employee Stock Option (right to buy)
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$119.5
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2/17/2017
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A
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2493
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(13)
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2/17/2027
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Common Stock
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2493.0
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$0
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2493
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D
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Employee Stock Option (right to buy)
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$21.35
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2/18/2016
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M
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3750
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(11)
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8/5/2020
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Common Stock
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3750.0
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$0
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0
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D
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Employee Stock Option (right to buy)
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$53.76
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6/6/2017
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M
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1102
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(12)
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3/1/2021
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Common Stock
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1102.0
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$0
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7298
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D
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Employee Stock Option (right to buy)
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$53.76
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6/7/2017
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M
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1571
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(12)
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3/1/2021
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Common Stock
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1571.0
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$0
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5727
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D
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Employee Stock Option (right to buy)
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$53.76
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6/8/2017
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M
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326
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(12)
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3/1/2021
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Common Stock
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326.0
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$0
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5401
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D
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Employee Stock Option (right to buy)
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$53.76
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7/7/2017
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M
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3001
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(12)
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3/1/2021
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Common Stock
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3001.0
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$0
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2400
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D
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Employee Stock Option (right to buy)
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$239.72
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2/22/2018
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A
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1790
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(14)
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2/22/2028
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Common Stock
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1790.0
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$0
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1790
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D
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Explanation of Responses:
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(1)
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Grant of restricted stock units vesting March 1, 2020.
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(2)
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Includes 145 shares acquired under the IPG employee stock purchase plan on June 30, 2016.
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(3)
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Includes 156 shares acquired under the IPG employee stock purchase plan on December 31, 2016.
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(4)
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Grant of restricted stock units vest in four annual equal installments commencing on March 1, 2018.
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(5)
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The reported transaction involves purchase transactions from $145.00 to $145.25 per share. The weighted average price per share was $145.06. 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.
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(6)
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The reported transaction involves purchase transactions from $150.00 to $150.94 per share. The weighted average price per share was $150.52. 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.
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(7)
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Includes 126 shares acquired under the IPG employee stock purchase plan on June 30, 2017.
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(8)
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Grant of restricted stock units vest in four annual equal installments commencing on March 1, 2019.
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(9)
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Includes 86 shares acquired under the IPG employee stock purchase plan in December 31, 2017.
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(10)
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Options vest March 1, 2020.
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(11)
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Options vest 25% on August 5, 2011 and the remaining amount in fourteen equal monthly amounts commencing September 30, 2011.
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(12)
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Options vest 25% quarterly commencing March 31, 2015.
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(13)
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Options vest in four annual equal installments commencing on March 1, 2018.
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(14)
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Options vest in four annual equal installments commencing on March 1, 2019.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Burgomaster Thomas J
50 OLD WEBSTER ROAD
OXFORD, MA 01540
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Chief Accounting Officer
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Signatures
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/s/ Angelo P. Lopresti, Attorney-in-fact
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10/31/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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