Statement of Changes in Beneficial Ownership (4)
September 15 2021 - 4:24PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Samartsev Igor |
2. Issuer Name and Ticker or Trading Symbol
IPG PHOTONICS CORP
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IPGP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, Chief Technology Officer |
(Last)
(First)
(Middle)
C/O IPG PHOTONICS CORPORATION, 50 OLD WEBSTER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/9/2021 |
(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)
___ Form filed by One Reporting Person
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X
_ 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 | | | | | | | | 155420 | D (1)(2) | |
Common Stock | | | | | | | | 101665 | I (3) | By Wife |
Common Stock | | | | | | | | 10000 | I | By Wife's Mother |
Common Stock | | | | | | | | 2200 | I | By Trust 2015 |
Common Stock | | | | | | | | 132700 | I | By Trust Sept. 2015 |
Common Stock | | | | | | | | 20983 | I | By Trust-G4 2016 |
Common Stock | | | | | | | | 20982 | I | By Trust-I 2016 |
Common Stock | | | | | | | | 42585 | I (3)(4) | By Trust May 2017 |
Common Stock | | | | | | | | 0 | I (3) | By Grantor Retained Annuity Trust August 2018 |
Common Stock | | | | | | | | 46000 | I (3) | By Grantor Retained Annuity Trust June 2020 |
Common Stock | | | | | | | | 200000 | I (4) | By Grantor Retained Annuity Trust I September 2021 |
Common Stock | | | | | | | | 200000 | I (2) | By Grantor Retained Annuity Trust II September 2021 |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Ms. Pavlova, a director, is an indirect beneficial owner of such shares as the spouse of Mr. Samartsev, an officer. |
(2) | On September 15, 2021, Mr. Samartsev contributed 200,000 shares to Grantor Retained Annuity Trust II September 2021. |
(3) | On September 9, 2021, Trust May 2017 received (i) 50,000 shares from Ms. Pavlova and (ii) 11,690 and 16,000 shares from Grantor Retained Annuity Trust August 2018 and Grantor Retained Annuity Trust June 2020 as annuity payments. |
(4) | On September 10, 2021, Trust May 2017 contributed 200,000 shares to Grantor Retained Annuity Trust I September 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Samartsev Igor C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 | X |
| SVP, Chief Technology Officer |
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Pavlova Natalia C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 | X |
| Chief Technology Officer |
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Signatures
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/s/ Angelo P. Lopresti, Attorney-in-Fact for Natalia Pavlova and Igor Samartsev | | 9/15/2021 |
**Signature of Reporting Person | Date |
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