0000820318-14-000013.txt : 20140326 0000820318-14-000013.hdr.sgml : 20140326 20140326163015 ACCESSION NUMBER: 0000820318-14-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140320 FILED AS OF DATE: 20140326 DATE AS OF CHANGE: 20140326 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: 1231 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JOHNSON CARL J CENTRAL INDEX KEY: 0000945117 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16195 FILM NUMBER: 14718951 MAIL ADDRESS: STREET 1: C/O II-VI INCORPORATED STREET 2: 375 SAXONBURG BLVD CITY: SAXONBURG STATE: PA ZIP: 16056 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-03-20 0 0000820318 II-VI INC IIVI 0000945117 JOHNSON CARL J 18 WINDSOR RIDGE FRISCO TX 75034 1 0 0 0 Common Stock 2014-03-20 4 G 0 267450 0 D 520577 D Common Stock 2014-03-20 4 G 0 267450 0 A 2424801 I By LP Common Stock 2014-03-20 4 G 0 2942 0 D 2424801 I By LP Common Stock 2014-03-25 4 S 0 5000 15.3785 D 515577 D Common Stock 1454128 I By Spouse 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. The reporting person disclaims beneficial ownership of shares owned by the L.P. except to the extent of his pecuniary interest therein. 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. 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. The reporting person disclaims beneficial ownership of shares owned by his spouse. /s/ Michelle L. Freehling, Attorney-in-Fact 2014-03-26