Filing Details
- Accession Number:
- 0000820318-14-000043
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-19 17:22:08
- Reporting Period:
- 2014-08-16
- Filing Date:
- 2014-08-19
- Accepted Time:
- 2014-08-19 16:22:08
- 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 |
|---|---|---|---|---|---|---|---|
| 945117 | J Carl Johnson | 18 Windsor Drive Frisco TX 75034 | Yes | 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 | 2014-08-16 | 5,720 | $0.00 | 374,253 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2014-08-18 | 7,000 | $14.10 | 2,428,145 | No | 4 | S | Indirect | By LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Indirect | By LP |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option (Right to buy) | Acquisiton | 2014-08-16 | 11,440 | $0.00 | 11,440 | $13.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 11,440 | 2024-08-16 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,454,128 | Indirect | By Spouse |
Footnotes
- 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.
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