Statement of Changes in Beneficial Ownership (4)
September 07 2021 - 4:24PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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KRAMER FRANCIS J |
2. Issuer Name and Ticker or Trading Symbol
II-VI INC
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IIVI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O II-VI INC., 375 SAXONBURG BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(Street)
SAXONBURG, PA 16056
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/1/2021 | | F | | 4209.00 (1) | D | $86.81 | 265686.00 (2) | D | |
Common Stock | 8/28/2021 | | A | | 3144.00 (3) | A | $0.00 | 268830.00 | D | |
Common Stock | | | | | | | | 35000.00 | I | By GRAT (4) |
Common Stock | | | | | | | | 285401.00 | I | By Spousal Limited Access Trust (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | These shares were withheld by the company to discharge withholding tax obligations of the reporting person and do not constitute an actual sale or other open market transaction. |
(2) | Includes 3,501 shares previously reported as being beneficially owned indirectly by the reporting person but which have been distributed to the reporting person by a GRAT. |
(3) | These shares represent a restricted stock unit award granted to the reporting person. The award will vest in three equal annual installments beginning on August 28, 2022. |
(4) | The reporting person disclaims beneficial ownership of these securities, other than to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KRAMER FRANCIS J C/O II-VI INC. 375 SAXONBURG BLVD. SAXONBURG, PA 16056 | X |
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Signatures
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/s/ Jeffrey W. Acre, Attorney-in-Fact | | 8/31/2021 |
**Signature of Reporting Person | Date |
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