FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
ROFIN SINAR TECHNOLOGIES INC [ RSTI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 09/08/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Rofin-Sinar Technologies Inc. (RSTI) | 09/08/2006 | P | 9,000(1) | A | $9.79(2) | 50,000 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Employee Stock Option | $8.75(2) | 09/08/2006(6) | H(6) | 0(6) | 03/21/2003(3) | 03/21/2012(4) | RSTI Common Stock | 0(6) | $8.75(2) | 3,000(5) | D | ||||
Employee Stock Option | $9.79(2) | 09/08/2006 | S | 9,000(1) | 03/20/2004(3) | 03/20/2013(4) | RSTI Common Stock | 9,000(1) | $9.79(2) | 6,000(5) | D | ||||
Employee Stock Option | $32.71(2) | 09/08/2006(6) | H(6) | 0(6) | 03/18/2005(3) | 03/18/2014(4) | RSTI Common Stock | (6) | $32.71(2) | 20,000(5) | D | ||||
Employee Stock Option | $34.22(2) | 09/08/2006(6) | H(6) | 0(6) | 03/17/2006(3) | 03/17/2015(4) | RSTI Common Stock | (6) | $34.22(2) | 20,000(5) | D |
Explanation of Responses: |
1. Mr. Baasel purchased 9,000 shares of stock options from the Rofin-Sinar Technologies Inc. (RSTI) 1996 Equity Incentive Plan (the Plan). |
2. Value represents the exercise price of the shares granted under the Plan for the particular grant year. |
3. Grants to purchae shares of common stock under the Plan are exercisable in 20% increments on each of the first five anniversaries of the date of grant. |
4. Grants to purchase shares of common stock under the Plan expire following the 10th anniversary of the date of grant. |
5. Number represents teh number fo available shares remaining under the particular grant date. |
6. No shares transacted - only reporting holdings as of this date. |
Cindy Denis | 09/12/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |