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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 | |
Oliver Press Partners, LLC 152 WEST 57TH STREET NEW YORK, NY 10019 |
Disclaimed Group | |||
Oliver Press Investors, LLC 152 WEST 57TH STREET NEW YORK, NY 10019 |
Disclaimed Group | |||
OLIVER AUGUSTUS K OLIVER PRESS PARTNERS, LLC 152 WEST 57TH STREET NEW YORK, NY 10019 |
Disclaimed Group |
/s/ Augustus K. Oliver, Managing Member of Oliver Press Partners, LLC | 11/18/2009 | |
**Signature of Reporting Person | Date | |
/s/ Augustus K. Oliver, Managing Member of Oliver Press Investors, LLC | 11/18/2009 | |
**Signature of Reporting Person | Date | |
/s/ Augustus K. Oliver | 11/18/2009 | |
**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) | As of November 16, 2009, Davenport Partners, L.P., a Delaware limited partnership ("Davenport"), held 214,897 shares of common stock, $0.01 par value per share (the "Shares"), of Coherent, Inc., a Delaware corporation (the "Company"). As of November 16, 2009, JE Partners, a Bermuda partnership ("JE"), held 2,280,771 Shares. As of November 16, 2009, Oliver Press Master Fund LP, a Cayman limited partnership ("Master Fund" and, together with Davenport and JE, the "Partnerships"), held 56,208 Shares. Oliver Press Investors, LLC, a Delaware limited liability company ("OPI"), serves as the general partner of each of the Partnerships. Oliver Press Partners, LLC, a Delaware limited liability company ("OPP"), serves as the investment adviser to each of the Partnerships. Clifford Press ("Press") and Augustus K. Oliver ("Oliver" and, collectively with OPI and OPP, the "Filing Parties") serve as the Managing Members of each of OPI and OPP. |
(2) | Press files separately from the Filing Parties with respect to Coherent, Inc. |
(3) | The Filing Parties share the power to vote and the power to direct the disposition of the Shares held by the Partnerships. The Filing Parties' interest in the securities reported herein is limited to their pecuniary interest in the Partnerships, if any. |