0000820318 false 0000820318 2021-02-09 2021-02-09 0000820318 IIVI:CommonStockNoParValueMember 2021-02-09 2021-02-09 0000820318 IIVI:SeriesMandatoryConvertiblePreferredStockNoParValueMember 2021-02-09 2021-02-09 iso4217:USD xbrli:shares iso4217:USD xbrli:shares



Washington, D.C. 20549








Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): February 9, 2021




(Exact name of registrant as specified in its charter)



Pennsylvania 001-39375 25-1214948
(State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R.S. Employer Identification No.)


375 Saxonburg Boulevard

Saxonburg, Pennsylvania 16056

(Address of Principal Executive Offices) (Zip Code)


(724) 352-4455

(Registrant's telephone number, including area code)


Not Applicable

(Former name or former address, if changed since last report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, no par value IIVI Nasdaq Global Select Market
Series A Mandatory Convertible Preferred Stock, no par value IIVIP Nasdaq Global Select Market


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐




Item 2.02. Results of Operations and Financial Condition.


On February 9, 2021, II-VI Incorporated (the “Company”) issued a press release, a copy of which is attached hereto as Exhibit 99.1 and is incorporated herein by reference.


Item 7.01. Regulation FD Disclosure.


A slide presentation to be used by senior management of the Company in connection with its discussions with investors regarding the Company's financial results for our quarter ended December 31, 2020 is included in Exhibit 99.2 to this report and is being furnished in accordance with Regulation FD of the Securities and Exchange Commission.


The information in this Current Report on Form 8-K, including the exhibits furnished pursuant to Item 9.01, shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities under that Section. Furthermore, the information in this Current Report on Form 8-K, including the exhibits furnished pursuant to Item 9.01 shall not be deemed to be incorporated by reference into the filings of the Company under the Securities Act of 1933.


Item 9.01. Financial Statements and Exhibits.


Exhibit 99.1. Press release dated February 9, 2021


Exhibit 99.2. Investor Presentation


Exhibit 104 Cover Page Interactive Data File (embedded within the Inline XBRL document)









Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


  II-VI Incorporated
Date: February 9, 2021 By:  /s/ Mary Jane Raymond
    Mary Jane Raymond
    Chief Financial Officer and Treasurer