Filing Details
- Accession Number:
- 0001191458-18-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-30 07:53:40
- Reporting Period:
- 2018-08-28
- Accepted Time:
- 2018-08-30 07:53:40
- 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 |
|---|---|---|---|---|---|---|---|
| 1191458 | J Francis Kramer | C/O Ii-Vi Incorporated 375 Saxonburg Blvd Saxonburg PA 16056 | 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 | Acquisiton | 2018-08-28 | 900 | $12.08 | 225,790 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-28 | 900 | $50.00 | 224,890 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-28 | 1,608 | $0.00 | 226,498 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2018-08-29 | 10 | $12.08 | 226,508 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-29 | 10 | $50.00 | 226,498 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option (Right to Buy) | Disposition | 2018-08-28 | 900 | $0.00 | 900 | $12.08 |
| Common Stock | Option (Right to Buy) | Acquisiton | 2018-08-28 | 4,020 | $0.00 | 4,020 | $49.90 |
| Common Stock | Option (Right to Buy) | Disposition | 2018-08-29 | 10 | $0.00 | 10 | $12.08 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 59,150 | 2019-08-15 | No | 4 | M | Direct | |
| 4,020 | 2028-08-28 | No | 4 | A | Direct | |
| 59,140 | 2019-08-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 285,401 | Indirect | By Spousal Limited Access Trust |
| Common Stock | 89,657 | Indirect | By GRAT |
Footnotes
- The sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 10, 2018.
- These shares represent a restricted stock award granted to the reporting person pursuant to the II-VI Incorporated Amended and Restated 2012 Omnibus Incentive Plan. The award will vest in three equal annual installments beginning on August 28, 2019.
- The reporting person disclaims beneficial ownership of these securities, other than to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- The grant of these options previously was reported as covering 34,100 shares at an exercise price of $24.15 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011.
- These options vested on August 15, 2012.
- These options will vest in four equal annual installments beginning on August 28, 2019.
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