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 |
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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)
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2. Issuer Name and Ticker or Trading Symbol
IPG PHOTONICS CORP [ IPGP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/02/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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 | ||||||
Common Stock | 09/02/2008 | S | 1,764 | D | $20.6504 | 7,036 | I | See Footnote 7(7) | ||
Common Stock | 09/03/2008 | S | 1,885 | D | $20.7177 | 5,151 | I | See Footnote 8(8) | ||
Common Stock | 09/04/2008 | S | 27 | D | $20.4585 | 5,124 | I | See Footnote 9(9) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Stock Options (right to buy) | $1.5 | (1) | 04/05/2012 | Common Stock | 33,334 | 33,334 | D | ||||||||
Stock Options (right to buy) | $1.5 | (2) | 12/14/2014 | Common Stock | 33,334 | 66,668 | D | ||||||||
Stock Options (right to buy) | $1.5 | (3) | 06/12/2015 | Common Stock | 20,000 | 86,668 | D | ||||||||
Stock Options (right to buy) | $6.45 | (4) | 06/21/2016 | Common Stock | 6,667 | 93,335 | D | ||||||||
Stock Options (right to buy) | $20.32 | (5) | 06/11/2017 | Common Stock | 6,667 | 100,002 | D | ||||||||
tock Options (right to buy) | $18.41 | (6) | 06/09/2018 | Common Stock | 6,667 | 106,669 | D |
Explanation of Responses: |
1. 8,334 of such options were immediately exercisable and the remaining options became exercisable in three equal installments of 8,333 shares beginning on 12/29/02 |
2. The option was exercisable immediately. |
3. The option is exercisable in four equal installments of 5,000 shares. The first installment became exercisable on 6/12/2006. |
4. The option is exercisable in four equal installments of 1,667 shares. The first installment becomes exercisable on 6/21/2007. |
5. The options vest in four equal installments beginning on 6/12/08 |
6. The option is exercisable in four equal installments beginning on 6/10/09 |
7. The reporting person may be deemed to have an indirect pecuniary interest as a partner of TA Investors II L.P. in 7,036 shares of Common Stock. On 09/02/08 TA Investors II L.P. sold a total of 1,764 shares on behalf of the reporting person. |
8. The reporting person may be deemed to have an indirect pecuniary interest as a partner of TA Investors II L.P. in 5,151 shares of Common Stock. On 09/03/08 TA Investors II L.P. sold a total of 1,885 shares on behalf of the reporting person. |
9. The reporting person may be deemed to have an indirect pecuniary interest as a partner of TA Investors II L.P. in 5,124 shares of Common Stock. On 09/04/08 TA Investors II L.P. sold a total of 27 shares on behalf of the reporting person. |
Michael C. Child | 09/04/2008 | |
By: Thomas P. Alber, Attorney-in-Fact | 09/04/2008 | |
** 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. |