0001191458-18-000003.txt : 20180830 0001191458-18-000003.hdr.sgml : 20180830 20180830075340 ACCESSION NUMBER: 0001191458-18-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180828 FILED AS OF DATE: 20180830 DATE AS OF CHANGE: 20180830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KRAMER FRANCIS J CENTRAL INDEX KEY: 0001191458 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16195 FILM NUMBER: 181045569 MAIL ADDRESS: STREET 1: C/O II-VI INCORPORATED STREET 2: 375 SAXONBURG BLVD CITY: SAXONBURG STATE: PA ZIP: 16056 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: II-VI INC CENTRAL INDEX KEY: 0000820318 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 251214948 STATE OF INCORPORATION: PA FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 375 SAXONBURG BLVD CITY: SAXONBURG STATE: PA ZIP: 16056 BUSINESS PHONE: 724-352-4455 MAIL ADDRESS: STREET 1: 375 SAXONBURG BLVD CITY: SAXONBURG STATE: PA ZIP: 16056 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-08-28 0 0000820318 II-VI INC IIVI 0001191458 KRAMER FRANCIS J C/O II-VI INCORPORATED 375 SAXONBURG BLVD SAXONBURG PA 16056 1 0 0 0 Common Stock 2018-08-28 4 M 0 900 12.075 A 225790 D Common Stock 2018-08-28 4 S 0 900 50 D 224890 D Common Stock 2018-08-28 4 A 0 1608 0 A 226498 D Common Stock 2018-08-29 4 M 0 10 12.075 A 226508 D Common Stock 2018-08-29 4 S 0 10 50 D 226498 D Common Stock 285401 I By Spousal Limited Access Trust Common Stock 89657 I By GRAT Option (Right to Buy) 12.075 2018-08-28 4 M 0 900 0 D 2019-08-15 Common Stock 900 59150 D Option (Right to Buy) 49.9 2018-08-28 4 A 0 4020 0 A 2028-08-28 Common Stock 4020 4020 D Option (Right to Buy) 12.075 2018-08-29 4 M 0 10 0 D 2019-08-15 Common Stock 10 59140 D 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. /s/ Jeffrey W. Acre, Attorney-in-Fact 2018-08-30