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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 1.5 | 09/24/2007 | M | 13,000 | (5) | 04/05/2012 | Common Stock | 13,000 | $ 0 | 67,000 | D | ||||
Employee Stock Option (right to buy) | $ 1.5 | 09/25/2007 | M | 7,000 | (5) | 04/05/2012 | Common Stock | 7,000 | $ 0 | 60,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lopresti Angelo P C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 |
VP, Secretary & Gen Counsel |
Angelo P. Lopresti | 09/26/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 15, 2007. |
(2) | Sales ranged from $18.25 to $18.97 as follows: 300 shares at $18.25; 100 shares at $18.30; 27 shares at $18.31; 149 shares at $18.33; 200 shares at $18.35; 100 shares at $18.36; 651 shares at $18.37; 100 shares at $18.41; 421 shares at $18.50; 108 shares at $18.51; 100 shares at $18.53; 459 shares at $18.55; 212 shares at $18.56; 73 shares at $18.58; 300 shares at $18.59; 100 shares at $18.60; 100 shares at $18.62; 559 shares at $18.63; 200 shares at $18.64; 100 shares at $18.66; 100 shares at $18.68; 700 shares at $18.69; 100 shares at $18.70; 441 shares at $18.71; 400 shares at $18.72; 100 shares at $18.74; 1,300 shares at $18.75; 600 shares at $18.77; 100 shares at $18.7750; 500 shares at $18.80; 96 shares at $18.81; 100 shares at $18.82; 100 shares $18.84; 500 shares $18.85; 104 shares at $18.87; 300 shares at $18.88; 300 shares at $18.90; 300 shares at $18.91; 500 shares at $18.92; 300 shares at $18.93; 700 shares at $18.94--Continued in Footnote (3). |
(3) | Continued from Footnote (2): 500 shares at $18.95; 462 shares at $18.96; 38 shares at $18.97. |
(4) | Sales ranged from $18.60 to $18.97 as follows: 100 shares at $18.60; 100 shares at $18.67; 800 shares at $18.69; 100 shares at 18.70; 200 shares at $18.72; 200 shares at $18.73; 478 shares at $18.75; 22 shares at $18.76; 100 shares at $18.77; 400 shares at $18.79; 157 shares at $18.80; 100 shares at $18.81; 745 shares at $18.82; 100 shares at $18.83; 100 shares at $18.84; 243 shares at $18.85; 100 shares at $18.86; 412 shares at $18.87; 400 shares at $18.88; 500 shares at $18.89; 700 shares at $18.90; 300 shares at $18.91; 200 shares at $18.93; 243 shares at $18.94; 200 shares at $18.97. |
(5) | Mr. Lopresti was granted options to purchase 200,000 shares; 43.75% of these options vested immediately and the remainder vested in three equal annual installments of 37,500 shares beginning on 12/29/02. |