FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/01/2019 |
3. Issuer Name and Ticker or Trading Symbol
II-VI INC [ IIVI ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 9,003(1) | D | |
Common Stock | 15 | I | By Daughter |
Common Stock | 15 | I | By Son |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (Right to Buy) | (2) | 07/01/2021 | Common Stock | 2,700 | $25.91 | D | |
Option (Right to Buy) | (3) | 08/18/2022 | Common Stock | 3,120 | $18.93 | D | |
Option (Right to Buy) | (4) | 08/17/2023 | Common Stock | 2,240 | $19.37 | D | |
Option (Right to Buy) | (5) | 08/16/2024 | Common Stock | 2,330 | $13.99 | D | |
Option (Right to Buy) | (6) | 08/15/2025 | Common Stock | 1,920 | $17.84 | D | |
Option (Right to Buy) | (7) | 08/20/2026 | Common Stock | 1,860 | $21.67 | D | |
Option (Right to Buy) | (8) | 08/18/2027 | Common Stock | 1,740 | $35.25 | D | |
Option (Right to Buy) | (9) | 08/28/2028 | Common Stock | 1,380 | $49.9 | D |
Explanation of Responses: |
1. Includes 1,264 shares of restricted stock granted to the reporting person under the Issuer's Second Amended and Restated 2012 Omnibus Incentive Plan. The shares of restricted stock will vest in full three years from the applicable grant date. |
2. The options fully vested on July 1, 2016. |
3. The options fully vested on August 18, 2017. |
4. The options fully vested on August 17, 2018. |
5. The options will fully vest on August 16, 2019. |
6. The options vest in five equal annual installments beginning on August 15, 2016. |
7. The options vest in four equal annual installments beginning on August 20, 2017. |
8. The options vested in four equal annual installments beginning on August 18, 2018. |
9. The options vest in four equal annual installments beginning on August 28, 2019. |
Remarks: |
/s/ Jeffrey W. Acre, Attorney-in-Fact | 07/09/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |