Filing Details
- Accession Number:
- 0000820318-11-000023
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-24 09:30:56
- Reporting Period:
- 2011-08-19
- Filing Date:
- 2011-08-24
- Accepted Time:
- 2011-08-24 09:30:56
- 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 |
|---|---|---|---|---|---|---|---|
| 1517296 | H. Howard Xia | Beijing Riviera 384B, No. 1 Xiang Jiang North Rd., Chaoyang District Beijing F4 100103 | 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 | 2011-08-19 | 4,000 | $17.52 | 4,000 | No | 4 | P | Indirect | Xia Family Trust |
| Common Stock | Acquisiton | 2011-08-20 | 4,650 | $0.00 | 8,650 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Xia Family Trust |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option (Right to buy) | Acquisiton | 2011-08-20 | 9,300 | $0.00 | 9,300 | $17.53 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,300 | 2021-08-20 | No | 4 | A | Direct |
Footnotes
- The reporting person disclaims beneficial ownership of shares held by the Xia Family Trust except to the extent of his pecuniary interest therein.
- Restricted stock award granted to reporting person under the Issuer's 2009 Omnibus Incentive Plan. The award will vest in full three years from the grant date on August 20, 2014.
- The option vests in 5 equal annual installments beginning on August 20, 2012.
Billionaire Hedge Funds
