Filing Details

Accession Number:
0001562180-20-003234
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-04-30 20:21:06
Reporting Period:
2020-04-29
Accepted Time:
2020-04-30 20:21:06
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 Inc.
375 Saxonburg Blvd.
Saxonburg PA 16056
No 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 2020-04-29 20,000 $16.86 208,549 No 4 M Direct
Common Stock Disposition 2020-04-29 20,000 $35.00 188,549 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2020-04-29 20,000 $0.00 20,000 $16.86
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
21,380 2020-08-21 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 92,500 Indirect By GRATs
Common Stock 285,401 Indirect By Spousal Limited Access Trust
Footnotes
  1. Includes 44,657 shares previously reported as being beneficially owned indirectly by the reporting person but which have been distributed to the reporting person by a GRAT.
  2. 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 31, 2020.
  3. 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.
  4. The grant of these options previously was reported as covering 30,690 shares at an exercise price of $33.71 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011.
  5. The options fully vested August 21, 2013.