0000820318-14-000043.txt : 20140819 0000820318-14-000043.hdr.sgml : 20140819 20140819162208 ACCESSION NUMBER: 0000820318-14-000043 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140816 FILED AS OF DATE: 20140819 DATE AS OF CHANGE: 20140819 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: 141052314 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 2014-08-16 0 0000820318 II-VI INC IIVI 0000945117 JOHNSON CARL J 18 WINDSOR DRIVE FRISCO TX 75034 1 0 0 0 Common Stock 2014-08-16 4 A 0 5720 0 A 374253 D Common Stock 2014-08-18 4 S 0 7000 14.103 D 2428145 I By LP Common Stock 1454128 I By Spouse Option (Right to buy) 13.99 2014-08-16 4 A 0 11440 0 A 2024-08-16 Common Stock 11440 11440 D Restricted stock award granted to reporting person under the Issuer's 2012 Omnibus Incentive Plan. The award will vest in full three years from the grant dae on August 16, 2017. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by CJ&M Holdings, L.P. (the "L.P.") on February 11, 2014, a family limited partnership of which the reporting person maintains control through his role as majority general partner. Represents the weighted average of multiple sales transactions ranging in price from $13.99 to $14.21. 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 the L.P., except to the extent of his pecuniary interest therein. The reporting person disclaims beneficial ownership of shares owned by his spouse. The option vests in 5 equal annual installments beginning on August 16, 2015. /s/ Michelle L. Freehling, Attorney-in-Fact 2014-08-19