Coherent (COHR) Form 3 II-VI / Christopher Koeppen ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Koeppen Christopher

(Last) (First) (Middle)

C/O II-VI INCORPORATED

375 SAXONBURG BLVD.

(Street)

SAXONBURG PA 16056

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
07/01/2019

3. Issuer Name and Ticker or Trading Symbol
II-VI INC [ IIVI ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Technology Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	9,003(1)	D
Common Stock	15	I	By Daughter
Common Stock	15	I	By Son

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Option (Right to Buy)	(2)	07/01/2021	Common Stock	2,700	25.91	D
Option (Right to Buy)	(3)	08/18/2022	Common Stock	3,120	18.93	D
Option (Right to Buy)	(4)	08/17/2023	Common Stock	2,240	19.37	D
Option (Right to Buy)	(5)	08/16/2024	Common Stock	2,330	13.99	D
Option (Right to Buy)	(6)	08/15/2025	Common Stock	1,920	17.84	D
Option (Right to Buy)	(7)	08/20/2026	Common Stock	1,860	21.67	D
Option (Right to Buy)	(8)	08/18/2027	Common Stock	1,740	35.25	D
Option (Right to Buy)	(9)	08/28/2028	Common Stock	1,380	49.9	D

Explanation of Responses:

1. Includes 1,264 shares of restricted stock granted to the reporting person under the Issuer's Second Amended and Restated 2012 Omnibus Incentive Plan. The shares of restricted stock will vest in full three years from the applicable grant date.

2. The options fully vested on July 1, 2016.

3. The options fully vested on August 18, 2017.

4. The options fully vested on August 17, 2018.

5. The options will fully vest on August 16, 2019.

6. The options vest in five equal annual installments beginning on August 15, 2016.

7. The options vest in four equal annual installments beginning on August 20, 2017.

8. The options vested in four equal annual installments beginning on August 18, 2018.

9. The options vest in four equal annual installments beginning on August 28, 2019.

Remarks:

	/s/ Jeffrey W. Acre, Attorney-in-Fact	07/09/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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