Filing Details

Accession Number:
0000820318-14-000013
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-26 16:30:15
Reporting Period:
2014-03-20
Filing Date:
2014-03-26
Accepted Time:
2014-03-26 16:30:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
820318 Ii-Vi Inc IIVI Optical Instruments & Lenses (3827) 251214948
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
945117 J Carl Johnson 18 Windsor Ridge
Frisco TX 75034
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2014-03-20 267,450 $0.00 520,577 No 4 G Direct
Common Stock Acquisiton 2014-03-20 267,450 $0.00 2,424,801 No 4 G Indirect By LP
Common Stock Disposition 2014-03-20 2,942 $0.00 2,424,801 No 4 G Indirect By LP
Common Stock Disposition 2014-03-25 5,000 $15.38 515,577 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 G Direct
No 4 G Indirect By LP
No 4 G Indirect By LP
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,454,128 Indirect By Spouse
Footnotes
  1. The reporting person gifted these shares to CJ&M Holdings, L.P. (the "L.P.") a family limited partnership of which the reporting person maintains control through his position as the sole limited partner (95%) and majority general partner (3.9%). Two other family members are minority general partners (1.1% on an aggregate basis). As a result of the ownership structure of the L.P., the two family members are deemed to have an ownership interest in 2,942 shares held by the L.P. However, as permitted by instruction 4(b)iv to Form 4, all of the shares held by the L.P. are reported herein as being indirectly held by the reporting person.
  2. The reporting person disclaims beneficial ownership of shares owned by the L.P. except to the extent of his pecuniary interest therein.
  3. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2013.
  4. Represents the weighted average of multiple sales transactions ranging in price from $15.25 to $15.49. the reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company.
  5. The reporting person disclaims beneficial ownership of shares owned by his spouse.