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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 |
Angelo P. Lopresti, Attorney-at-law | 10/24/2007 | |
**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 23, 2007. |
(2) | Sales ranged from $20.01 to $21.34 as follows: 100 shares at $20.01; 407 shares at $20.07; 100 shares at $20.08; 300 shares at $20.12; 100 shares at $20.13; 200 shares at $20.14; 100 shares at $20.16; 100 shares at $20.17; 100 shares at $20.18; 100 shares at $20.21; 700 shares at $20.25; 100 shares at $20.26; 400 shares at $20.30; 93 shares at $20.44; 200 shares at $20.50; 300 shares at $20.51; 100 shares at $20.53; 100 shares at $20.56; 100 shares at $20.57; 100 shares at $20.59; 200 shares at $20.60; 200 shares at $20.61; 300 shares at $20.62; 200 shares at $20.63; 300 shares at $20.64; 400 shares at $20.66; 23 shares at $20.67; 200 shares at $20.68; 200 shares at $20.69; 2,000 shares at $20.70; 200 shares at $20.71; 300 shares at $20.72; 12 shares at $20.73; 365 shares at $20.74; 700 shares at $20.75; 100 shares at $20.76; 100 shares at $20.77; 300 shares at $20.78; 703 shares at $20.80; 697 shares at $20.81; 1,000 shares at $20.82; 500 shares at $20.83. Cont. Footnote 3. |
(3) | 200 shares at $20.84; 300 shares at $20.85; 500 shares at $20.90; 100 shares at $20.91; 100 shares at $20.92; 67 shares at $21.32; and 199 shares at $21.34. |
(4) | Sales ranged from $20.01 to $21.36 as follows: 100 shares at $20.01; 100 shares at $20.03; 200 shares at $20.04; 200 shares at $20.06; 300 shares at $20.07; 100 shares at $20.08; 100 shares at $20.09; 200 shares at $20.10; 100 shares at $20.12; 100 shares at $20.14; 700 shares at $20.25; 200 shares at $20.26; 300 shares at $20.30; 100 shares $20.31; 200 shares at $20.38; 200 shares $20.50; 200 shares at $20.52; 200 shares at $20.53; 100 shares at $20.56; 100 shares at $20.57; 100 shares at $20.58; 300 shares at $20.59; 200 shares at $20.60; 200 shares at $20.61; 123 shares at $20.62; 300 shares at $20.64; 200 shares at $20.65; 300 shares at $20.66; 177 shares at $20.67; 200 shares at $20.68; 1,100 shares at $20.70; 1,100 shares at $20.71; 300 shares at $20.72; 200 shares at $20.73; 200 shares at $20.74; 612 shares at $20.75; 100 shares at $20.76; 200 shares at $20.78; 100 shares at $20.79; 1,388 shares at $20.80; 200 shares at $20.81; 900 shares at $20.82. Cont. Footnote 5. |
(5) | 600 shares at $20.83; 698 shares at $20.85; 200 shares at $20.89; 400 shares at $20.90; 2 shares at $20.92; 30 shares at $21.32; 100 shares at $21.34; and 70 shares at $21.36. |
(6) | Sales ranged from $19.96 to $20.62 as follows: 200 shares at $19.96; 1,600 shares at $20.06; 200 shares at $20.08; 300 shares at $20.09; 515 shares at $20.10; 300 shares at $20.11; 100 shares at $20.1150; 485 shares at $20.12; 600 shares at $20.13; 100 shares at $20.14; 200 shares at $20.15; 100 shares at $20.16; 200 shares at $20.17; 100 shares at $20.19; 200 shares at $20.20; 300 shares at $20.21; 100 shares at $20.22; 1,200 shares at $20.24; 200 shares $20.25; 100 shares $20.27; 400 shares at $20.30; 300 shares at $20.32; 200 shares at $20.37; 100 shares at $20.39; 100 shares at $20.40; 88 shares at $20.41; 312 shares at $20.43; 100 shares $20.46; 100 shares at $20.47; 200 shares at $20.52. Cont. Footnote 6. |
(7) | 200 shares at $20.59; and 200 shares at $20.62. |
(8) | The reporting person is the managing director of IP Fibre Devices (UK) Ltd. and has voting and investment power with respect to the shares held of record by IP Fibre Devices (UK) Ltd. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of the beneficial ownership of all the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(9) | Sales ranged from $19.96 to $20.62 as follows: 200 shares at $19.96; 1,293 shares at $20.06; 100 shares at $20.07; 400 shares at $20.08; 400 shares at $20.09; 407 shares at $20.10; 200 shares at $20.11; 500 shares at $20.12; 200 shares at $20.13; 300 shares at $20.14; 200 shares at $20.145; 100 shares at $20.15; 100 shares at $20.16; 300 shares at $20.17; 74 shares at $20.18; 100 shares at $20.199; 100 shares at $20.20; 100 shares at $20.21; 100 shares at $20.22; 900 shares at $20.24; 526 shares at $20.25; 100 shares at $20.255; 183 shares at $20.26; 17 shares at $20.27; 100 shares at $20.294; 200 shares at $20.30; 300 shares at $20.37; 88 shares at $20.39; 112 shares at $20.40; 200 shares at $20.41; 100 shares at $20.42; 100 shares at $20.43; 200 shares at $20.44; 200 shares at $20.46; 100 shares at $20.53; 100 shares at $20.545; 100 shares at $20.59; 200 shares at $20.60; and 100 shares at $20.62. |