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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GAPONTSEV VALENTIN P C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 |
X | X | CEO & Chairman of the Board | |
Valentin Gapontsev Trust I C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 |
X | |||
Shcherbakov Eugene A C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 |
X | X | Managing Director of IPG Laser | |
IP FIBRE DEVICES LTD C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 |
X | |||
PLATONOV NIKOLAI C/O IPG PHOTONICS CORPORATION 50 OLD WEBSTER ROAD OXFORD, MA 01540 |
X |
Angelo P. Lopresti, Attorney-in-fact for Valentin Gapontsev | 12/06/2011 | |
**Signature of Reporting Person | Date | |
By: Angelo P. Lopresti, Attorney-in-fact for IP Fibre Devices (UK) Ltd. | 12/06/2011 | |
**Signature of Reporting Person | Date | |
By: Angelo P. Lopresti, Attorney-in-fact for Valentin Gapontsev Trust I | 12/06/2011 | |
**Signature of Reporting Person | Date | |
By: Angelo P. Lopresti, Attorney-in-fact for N. Platonov | 12/06/2011 | |
**Signature of Reporting Person | Date | |
By: Angelo P. Lopresti, Attorney-in-fact for E. Scherbakov | 12/06/2011 | |
**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 reported transaction involved sales transactions from $41.25 to $41.74 per share. 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 sold at each separate price. |
(2) | The reported transaction involved sales transactions from $41.25 to $41.73 per share. 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 sold at each separate price. |
(3) | The reported transaction involved sales transactions from $40.68 to $41.72 per share. 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 sold at each separate price. |
(4) | The reported transaction involved sales transactions from $40.68 to $41.72 per share. 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 sold at each separate price. |
(5) | These shares are owned directly by IP Fibre Devices (UK) Ltd. (IPFD), and indirectly by (i) Valentin P. Gapontsev, the managing director and a 5% shareholder of IPFD, (ii) the Valentin Gapontsev Trust I, a 48% shareholder of IPFD (Gapontsev Trust I), (iii) Nikolai Platonov, a trustee of Gapontsev Trust I and an 8% shareholder of IPFD, and (iv) Eugene Scherbakov, a trustee of Gapontsev Trust I and an 8% shareholder of IPFD. On May 20, 2011, Eugene Scherbakov was appointed as a trustee of Gapontsev Trust I. Drs. Gapontsev, Platonov and Scherbakov and Gapontsev Trust I each disclaim ownership of the securities directly owned by IPFD except to the extent of his or its pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1034, as amended, or for any other purpose. |