<SEC-DOCUMENT>0001193125-18-323095.txt : 20181109
<SEC-HEADER>0001193125-18-323095.hdr.sgml : 20181109
<ACCEPTANCE-DATETIME>20181109071359
ACCESSION NUMBER:		0001193125-18-323095
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20181109
ITEM INFORMATION:		Entry into a Material Definitive Agreement
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20181109
DATE AS OF CHANGE:		20181109

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			II-VI INC
		CENTRAL INDEX KEY:			0000820318
		STANDARD INDUSTRIAL CLASSIFICATION:	OPTICAL INSTRUMENTS & LENSES [3827]
		IRS NUMBER:				251214948
		STATE OF INCORPORATION:			PA
		FISCAL YEAR END:			0630

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-16195
		FILM NUMBER:		181171340

	BUSINESS ADDRESS:	
		STREET 1:		375 SAXONBURG BLVD
		CITY:			SAXONBURG
		STATE:			PA
		ZIP:			16056
		BUSINESS PHONE:		724-352-4455

	MAIL ADDRESS:	
		STREET 1:		375 SAXONBURG BLVD
		CITY:			SAXONBURG
		STATE:			PA
		ZIP:			16056
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>d649367d8k.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<HTML><HEAD>
<TITLE>Form 8-K</TITLE>
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<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT></B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or 15(d) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event Reported): November&nbsp;8, 2018 </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B><FONT STYLE="white-space:nowrap">II-VI</FONT> Incorporated </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact Name of Registrant as Specified in Charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>PENNSYLVANIA</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">0-16195</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">25-1214948</FONT></B></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or Other Jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of Incorporation)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(I.R.S. Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification Number)</B></P></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>375 Saxonburg Boulevard, Saxonburg, Pennsylvania 16056 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Address of Principal Executive Offices) (Zip Code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(724) <FONT STYLE="white-space:nowrap">352-4455</FONT></B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Registrant&#146;s telephone number, including area code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Not Applicable </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former
name or former address, if changed since last report) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below
if the Form <FONT STYLE="white-space:nowrap">8-K</FONT> filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: </P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9746;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P></TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to Rule <FONT STYLE="white-space:nowrap">14a-12</FONT> under the Exchange Act (17
CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT></P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">14d-2(b)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT></P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">13e-4(c)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT></P></TD></TR></TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR &#167;230.405) or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934 (17 CFR <FONT
STYLE="white-space:nowrap">&#167;240.12b-2).</FONT> Emerging growth company&nbsp;&nbsp;&#9744; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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&nbsp;13(a) of the Exchange Act.&nbsp;&nbsp;&#9744; </P>
<P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;1.01 Entry into a Material Definitive Agreement. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On November&nbsp;8, 2018, <FONT STYLE="white-space:nowrap">II-VI</FONT> Incorporated (the &#147;Company&#148;) and Mutation Merger Sub Inc., a wholly-owned
subsidiary of the Company (&#147;Merger Sub&#148;), entered into an Agreement and Plan of Merger (the &#147;Merger Agreement&#148;) with Finisar Corporation (&#147;Finisar&#148;), pursuant to which Merger Sub will be merged with and into Finisar
(the &#147;Merger&#148;), with Finisar continuing as the surviving entity in the Merger and a wholly-owned subsidiary of the Company. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Subject to the
terms and conditions set forth in the Merger Agreement, at the effective time of the Merger (the &#147;Effective Time&#148;), each issued and outstanding share of common stock, par value $0.001 per share (&#147;Finisar Common Stock&#148;), of
Finisar (excluding any shares (i)&nbsp;held by any Finisar stockholder who properly demands and perfects applicable appraisal rights with respect to such shares or (ii)&nbsp;owned directly by the Company, Merger Sub or any other direct or indirect
wholly-owned subsidiary of the Company immediately prior to the Effective Time) will be converted into the right to receive and become exchangeable for (A) $26.00 in cash, without any interest thereon, subject to proration in accordance with the
terms of the Merger Agreement (the &#147;Cash Election Consideration&#148;); (B) 0.5546 shares of common stock, no par value, of the Company (&#147;Company Common Stock&#148;), subject to proration in accordance with the terms of the Merger
Agreement (the &#147;Stock Election Consideration&#148;); or (C) $15.60 in cash, without any interest thereon, and 0.2218 shares of Company Common Stock (the &#147;Mixed Election Consideration&#148; and, together with the Cash Election Consideration
and the Stock Election Consideration, &#147;Merger Consideration&#148;). No fractional shares of Company Common Stock will be issued in the Merger, and Finisar stockholders will receive cash in lieu of any fractional shares. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Merger Agreement provides that, at the Effective Time: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Each outstanding stock option to purchase Finisar Common Stock issued by Finisar that is outstanding and
unexercised immediately prior to the Effective Time (whether vested or unvested) will be cancelled and converted into a right to receive an amount of Mixed Election Consideration that would be payable with respect to the a number of shares of
Finisar Common Stock equal to (i)&nbsp;the product of (A)&nbsp;the excess, if any, of the Cash Election Consideration less the exercise price per share of such stock option, divided by (ii)&nbsp;the Cash Election Consideration, subject to any
applicable tax withholdings; </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Each restricted stock unit issued by Finisar (a &#147;Finisar RSU&#148;) that is outstanding immediately prior to
the Effective Time and subject to a performance-based vesting condition that relates solely to the value of Finisar Common Stock will, to the extent such Finisar RSU vests in accordance with its terms in connection with the Merger, be cancelled and
converted into the right to receive the Cash Election Consideration, the Stock Election Consideration or the Mixed Election Consideration at the election of the holder of such a Finisar RSU, subject to any applicable tax withholdings and subject to
proration in accordance with the terms of the Merger Agreement; </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Each Finisar RSU that is outstanding immediately prior to the Effective Time and subject to a performance-based
vesting condition that relates solely to the value of Finisar Common Stock, but that does not vest in accordance with its terms in connection with the Merger, will be cancelled and extinguished at the Effective Time without any right to receive
Merger Consideration or any other payment; and </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TR style = "page-break-inside:avoid">
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">The Company will assume each Finisar RSU that is outstanding immediately prior to the Effective Time and that is
either (i)&nbsp;subject to time-based vesting requirements only or (ii)&nbsp;subject to a performance-based vesting condition other than the value of Finisar Common Stock (including any other long-term incentive award subject to such
performance-based vesting, whether denominated in dollars or shares), but that does not vest in accordance with its terms in connection with the Merger. Each such assumed Finisar RSU will be subject to substantially the same terms and conditions,
including the vesting schedule and any applicable performance-based vesting conditions, except that the number of shares of Company Common Stock subject to each assumed Finisar RSU will be calculated in accordance with the terms of the Merger
Agreement. </P></TD></TR></TABLE>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Company will file with the U.S. Securities and Exchange Commission (the &#147;SEC&#148;) a registration
statement on Form <FONT STYLE="white-space:nowrap">S-4</FONT> (the &#147;Form <FONT STYLE="white-space:nowrap">S-4&#148;)</FONT> in connection with its issuance of Company Common Stock as part of the Merger Consideration. The Form <FONT
STYLE="white-space:nowrap">S-4</FONT> will include a prospectus and a joint proxy statement relating to a special meeting of the Company&#146;s shareholders to be held to vote on the approval of the Company&#146;s issuance of the Company Common
Stock issuable in connection with the Merger and the special meeting of Finisar&#146;s stockholders to be held to vote on the adoption of the Merger Agreement. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The completion of the Merger is subject to the satisfaction or waiver of certain customary conditions, including (i)&nbsp;the approval by the Company&#146;s
shareholders of the Company&#146;s issuance of the Company Common Stock issuable in connection with the Merger, (ii)&nbsp;the adoption of the Merger Agreement by Finisar&#146;s stockholders, (iii)&nbsp;the absence of any temporary restraining order
or preliminary or permanent injunction or other order prohibiting the consummation of the Merger or an applicable law of a governmental authority of competent jurisdiction in effect that prohibits the consummation of the Merger, (iv)&nbsp;the
expiration or termination of any applicable waiting period (or extensions thereof) under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended, relating to the Merger and receipt of all
<FONT STYLE="white-space:nowrap">pre-closing</FONT> approvals or clearances required thereunder, (v)&nbsp;receipt of all other consents under certain antitrust laws, (vi)&nbsp;the Form <FONT STYLE="white-space:nowrap">S-4</FONT> being declared
effective by the SEC under the Securities Act of 1933, as amended, (vii)&nbsp;the approval for listing on Nasdaq of the Company Common Stock issuable in connection with the Merger; (viii)&nbsp;the absence of a material adverse effect on the Company
or Finisar and (ix)&nbsp;certain other customary conditions relating to the parties&#146; representations and warranties in the Merger Agreement and the performance of their respective obligations. The Merger is not subject to any financing
condition. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Merger Agreement also provides, among other things, that the board of directors of the Company (the &#147;Company Board&#148;) will
appoint, at the Effective Time, three additional members, each of whom are (i)&nbsp;members of the board of directors of Finisar (the &#147;Finisar Board&#148;) as of the date of the Merger Agreement, (ii)&nbsp;mutually agreed to by the Company and
Finisar, acting in good faith, and (iii)&nbsp;reasonably approved by the Corporate Governance and Nominating Committee of the Company Board. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Merger
Agreement contains customary representations and warranties made by each of Finisar, the Company and Merger Sub. The Merger Agreement also contains customary <FONT STYLE="white-space:nowrap">pre-closing</FONT> covenants, including covenants, among
others, (i)&nbsp;by Finisar to operate its businesses in the ordinary course consistent with past practice subject to certain exceptions, (ii)&nbsp;by Finisar to refrain from taking certain actions, (iii)&nbsp;by Finisar, subject to certain
exceptions, not to solicit, initiate or knowingly encourage or knowingly facilitate any inquiries, offers or the making of any proposal for a transaction that is an alternative transaction to the Merger, (iv)&nbsp;by Finisar to call and hold a
special meeting of its stockholders and, subject to certain exceptions, require the Finisar Board to recommend to Finisar&#146;s stockholders that they vote in favor of the adoption of the Merger Agreement, (v)&nbsp;by Finisar to use reasonable best
efforts to cooperate in connection with the Company obtaining debt financing to fund the cash portion of the Merger, (vi)&nbsp;by the Company to call and hold a special meeting of the Company&#146;s shareholders and, subject to certain exceptions,
require the Company Board to recommend to the Company&#146;s shareholders that they vote in favor of the approval of the issuance of the Company Common Stock issuable in connection with the Merger, and (vii)&nbsp;by the Company and Merger Sub to use
reasonable best efforts to obtain debt financing to fund the cash portion of the Merger Consideration. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Merger Agreement contains certain termination
rights, including, subject to certain exceptions, (i)&nbsp;in the event that the parties mutually agree to termination, (ii)&nbsp;for either Finisar or the Company, if any law or order permanently prohibits consummation of the Merger, (iii)&nbsp;for
either Finisar or the Company, if the Merger is not consummated by the date that is 365 days after the date of the Merger Agreement, (iv)&nbsp;for the Company, if the Finisar Board changes its recommendation that Finisar&#146;s stockholders adopt
the Merger Agreement, (v)&nbsp;for Finisar, if the Company or Merger Sub is in breach of its representations and warranties or covenants under the Merger Agreement such that a closing condition is not satisfied, (vi)&nbsp;for the Company, if Finisar
is in breach of its representations an warranties or covenants under the Merger Agreement such that a closing condition is not satisfied, (vii)&nbsp;for either Finisar or the Company, if the requisite approval of the Company&#146;s shareholders or
Finisar&#146;s stockholders, respectively, is not obtained, (viii)&nbsp;for Finisar, in order to enter into an agreement providing for a superior alternative transaction, and (ix)&nbsp;for Finisar, if the Company Board changes its recommendation
that the Company&#146;s shareholders approve the issuance of Company Common Stock issuable in connection with the Merger. The Merger Agreement provides that, in connection with the termination of the Merger Agreement under specified circumstances,
Finisar may be required to pay to the Company a termination fee equal to $105.2&nbsp;million in cash, or the Company may be required to pay to Finisar a termination fee equal to $105.2&nbsp;million in cash. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The foregoing description of the Merger Agreement is only a summary, does not purport to be complete and is
qualified in its entirety by reference to the full text of the Merger Agreement, which is attached hereto as Exhibit 2.1 and incorporated herein by reference. The Merger Agreement has been attached to provide investors with information regarding its
terms. It is not intended to provide any other factual information about the Company, Merger Sub or Finisar. Moreover, certain representations and warranties in the Merger Agreement were used for the purpose of allocating risk between the Company
and Finisar rather than establishing matters as facts. Accordingly, the representations and warranties in the Merger Agreement should not be relied upon as characterizations of the actual state of facts about the Company or Finisar. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><U>Forward-looking Statements </U></B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This communication
contains &#147;forward-looking statements&#148; within the meaning of the federal securities laws, including Section&nbsp;27A of the Securities Act of 1933, as amended, and Section&nbsp;21E of the Securities Exchange Act of 1934, as amended. In this
context, forward-looking statements often address expected future business and financial performance and financial condition, and often contain words such as &#147;expect,&#148; &#147;anticipate,&#148; &#147;intend,&#148; &#147;plan,&#148;
&#147;believe,&#148; &#147;seek,&#148; &#147;see,&#148; &#147;will,&#148; &#147;would,&#148; &#147;target,&#148; similar expressions, and variations or negatives of these words. Forward-looking statements by their nature address matters that are, to
different degrees, uncertain, such as statements about the consummation of the proposed transaction and the anticipated benefits thereof. These and other forward-looking statements are not guarantees of future results and are subject to risks,
uncertainties and assumptions that could cause actual results to differ materially from those expressed in any forward-looking statements, including the failure to consummate the proposed transaction or to make any filing or take other action
required to consummate such transaction in a timely matter or at all, are not guarantees of future results and are subject to risks, uncertainties and assumptions that could cause actual results to differ materially from those expressed in any
forward-looking statements. Important factors that may cause such a difference include, but are not limited to: (i)&nbsp;the ability of <FONT STYLE="white-space:nowrap">II-VI</FONT> and Finisar to complete the proposed transaction on the anticipated
terms and timing or at all, (ii)&nbsp;the ability of the parties to satisfy the conditions to the closing of the proposed transaction, including obtaining required regulatory approvals, (iii)&nbsp;potential litigation relating to the proposed
transaction, which could be instituted against <FONT STYLE="white-space:nowrap">II-VI,</FONT> Finisar or their respective directors, (iv)&nbsp;potential adverse reactions or changes to business relationships resulting from the announcement or
completion of the transaction, (v)&nbsp;the triggering of any third party contracts containing consent and/or other similar provisions, (vi)&nbsp;any negative effects of the announcement of the transaction on the market price of Finisar&#146;s
common stock and/or negative effects of the announcement or commencement of the transaction on the market price of <FONT STYLE="white-space:nowrap">II-VI&#146;s</FONT> common stock, (vii)&nbsp;uncertainty as to the long-term value of <FONT
STYLE="white-space:nowrap">II-VI&#146;s</FONT> common stock, and thus the value of the <FONT STYLE="white-space:nowrap">II-VI</FONT> shares to be issued in the transaction, (viii)&nbsp;any unexpected impacts from unforeseen liabilities, future
capital expenditures, revenues, expenses, earnings, synergies, economic performance, indebtedness, financial condition and losses on the future prospects, business and management strategies for the management, expansion and growth of the combined
company&#146;s operations after the consummation of the transaction and on the other conditions to the completion of the merger, (ix)&nbsp;inherent risks, costs and uncertainties associated with integrating the businesses successfully and achieving
all or any of the anticipated synergies, (x)&nbsp;potential disruptions from the proposed transaction that may harm <FONT STYLE="white-space:nowrap">II-VI&#146;s</FONT> or Finisar&#146;s respective businesses, including current plans and operations,
(xi)&nbsp;the ability of <FONT STYLE="white-space:nowrap">II-VI</FONT> and Finisar to retain and hire key personnel, (xii)&nbsp;adverse legal and regulatory developments or determinations or adverse changes in, or interpretations of, U.S. or foreign
laws, rules or regulations, that could delay or prevent completion of the proposed transaction or cause the terms of the proposed transaction to be modified, (xiii)&nbsp;the ability of <FONT STYLE="white-space:nowrap">II-VI</FONT> to obtain or
consummate financing or refinancing related to the transaction upon acceptable terms or at all, (xiv)&nbsp;economic uncertainty due to monetary or trade policy, political or other issues in the United States or internationally, (xv)&nbsp;any
unexpected fluctuations or weakness in the U.S. and global economies, (xvi)&nbsp;changes in U.S. corporate tax laws as a result of the Tax Cuts and Jobs Act of 2017 and any future legislation, (xvii)&nbsp;foreign currency effects on <FONT
STYLE="white-space:nowrap">II-VI&#146;s</FONT> and Finisar&#146;s respective businesses, (xviii)&nbsp;competitive developments including pricing pressures, the level of orders that are received and can be shipped in a quarter, changes or
fluctuations in customer order patterns, and seasonality, (xix)&nbsp;changes in utilization of <FONT STYLE="white-space:nowrap">II-VI</FONT> or Finisar&#146;s manufacturing capacity and <FONT STYLE="white-space:nowrap">II-VI&#146;s</FONT>
</P>
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ability to effectively manage and expand its production levels, (xx)&nbsp;disruptions in <FONT STYLE="white-space:nowrap">II-VI&#146;s</FONT> business or the businesses of its customers or
suppliers due to natural disasters, terrorist activity, armed conflict, war, worldwide oil prices and supply, public health concerns or disruptions in the transportation system, and (xxi)&nbsp;the responses by the respective managements of <FONT
STYLE="white-space:nowrap">II-VI</FONT> and Finisar to any of the aforementioned factors. Additional risks are described under the heading &#147;Risk Factors&#148; in <FONT STYLE="white-space:nowrap">II-VI&#146;s</FONT> Annual Report on Form <FONT
STYLE="white-space:nowrap">10-K</FONT> for the year ended June&nbsp;30, 2018, filed with the U.S. Securities and Exchange Commission (the &#147;SEC&#148;) on August&nbsp;28, 2018 and in Finisar&#146;s Annual Report on Form <FONT
STYLE="white-space:nowrap">10-K</FONT> for the year ended April&nbsp;29, 2018 filed with the SEC on June&nbsp;15, 2018. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">These risks, as well as other
risks associated with the proposed transaction, will be more fully discussed in the joint proxy statement/prospectus that will be included in the registration statement on Form <FONT STYLE="white-space:nowrap">S-4</FONT> that will be filed with the
SEC in connection with the proposed transaction (the &#147;Form <FONT STYLE="white-space:nowrap">S-4&#148;).</FONT> While the list of factors discussed above is, and the list of factors to be presented in the Form
<FONT STYLE="white-space:nowrap">S-4</FONT> are, considered representative, no such list should be considered to be a complete statement of all potential risks and uncertainties. Unlisted factors may present significant additional obstacles to the
realization of forward looking statements. Neither <FONT STYLE="white-space:nowrap">II-VI</FONT> nor Finisar assumes any obligation to publicly provide revisions or updates to any forward looking statements, whether as a result of new information,
future developments or otherwise, should circumstances change, except as otherwise required by securities and other applicable laws. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><U>No Offer or
Solicitation </U></B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This communication is for informational purposes only and not intended to and does not constitute an offer to subscribe for, buy or
sell, the solicitation of an offer to subscribe for, buy or sell or an invitation to subscribe for, buy or sell any securities or the solicitation of any vote or approval in any jurisdiction pursuant to or in connection with the proposed transaction
or otherwise, nor shall there be any sale, issuance or transfer of securities in any jurisdiction in contravention of applicable law. No offer of securities shall be made except by means of a prospectus meeting the requirements of Section&nbsp;10 of
the Securities Act of 1933, as amended, and otherwise in accordance with applicable law. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><U>Additional Information and Where to Find It </U></B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">In connection with the proposed transaction between <FONT STYLE="white-space:nowrap">II-VI</FONT> and Finisar, <FONT STYLE="white-space:nowrap">II-VI</FONT>
and Finisar will file relevant materials with the SEC, including a registration statement on Form <FONT STYLE="white-space:nowrap">S-4</FONT> filed by <FONT STYLE="white-space:nowrap">II-VI</FONT> that will include a joint proxy statement of <FONT
STYLE="white-space:nowrap">II-VI</FONT> and Finisar that also constitutes a prospectus of <FONT STYLE="white-space:nowrap">II-VI,</FONT> and a definitive joint proxy statement/prospectus that will be mailed to shareholders of <FONT
STYLE="white-space:nowrap">II-VI</FONT> and stockholders of Finisar. INVESTORS AND SECURITY HOLDERS OF <FONT STYLE="white-space:nowrap">II-VI</FONT> AND FINISAR ARE URGED TO READ THE JOINT PROXY STATEMENT/PROSPECTUS AND OTHER DOCUMENTS THAT WILL BE
FILED WITH THE SEC CAREFULLY AND IN THEIR ENTIRETY WHEN THEY BECOME AVAILABLE BECAUSE THEY WILL CONTAIN IMPORTANT INFORMATION. Investors and security holders will be able to obtain free copies of the registration statement on Form <FONT
STYLE="white-space:nowrap">S-4</FONT> and the joint proxy statement/prospectus (when available) and other documents filed with the SEC by <FONT STYLE="white-space:nowrap">II-VI</FONT> or Finisar through the website maintained by the SEC at
http://www.sec.gov. Copies of the documents filed with the SEC by <FONT STYLE="white-space:nowrap">II-VI</FONT> will be available free of charge within the Investor Relations section of <FONT STYLE="white-space:nowrap">II-VI&#146;s</FONT> internet
website at <U><FONT STYLE="white-space:nowrap">https://www.ii-vi.com/investor-relations/</FONT></U>. Copies of the documents filed with the SEC by Finisar will be available free of charge on Finisar&#146;s internet website at
<U>http://investor.finisar.com/investor-relations</U>. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><U>Participants in Solicitation </U></B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><FONT STYLE="white-space:nowrap">II-VI,</FONT> Finisar, their respective directors and certain of their respective executive officers may be considered
participants in the solicitation of proxies in connection with the proposed transaction. Information about the directors and executive officers of <FONT STYLE="white-space:nowrap">II-VI</FONT> is set forth in its Annual Report on Form <FONT
STYLE="white-space:nowrap">10-K</FONT> for the year ended June&nbsp;30, 2019, which was filed with the SEC on August&nbsp;28, 2018, and its definitive proxy statement for its 2018 annual meeting of stockholders, which was filed with the SEC on
March&nbsp;31, 2017. Information about the directors and executive officers of Finisar is set forth in its Annual Report on Form <FONT STYLE="white-space:nowrap">10-K</FONT> for the year ended April&nbsp;29, 2018, which was filed with the SEC on
June&nbsp;15, 2018, and its definitive proxy statement for its 2018 annual meeting of stockholders, which was filed with the SEC on July&nbsp;26, 2018. Other information regarding the participants in the proxy solicitations and a description of
their direct and indirect interests, by security holdings or otherwise, will be contained in the joint proxy statement/prospectus and other relevant materials to be filed with the SEC when they become available. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;9.01. Financial Statements and Exhibits. </B></P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">(d)</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Exhibits </P></TD></TR></TABLE>
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<TD VALIGN="top" NOWRAP>2.1*</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="http://www.sec.gov/Archives/edgar/data/1094739/000110465918067123/a18-39922_1ex2d1.htm">Agreement and Plan of Merger, dated November&nbsp;
8, 2018, by and among <FONT STYLE="white-space:nowrap">II-VI</FONT> Incorporated, Mutation Merger Sub Inc. and Finisar Corporation (incorporated by reference to Exhibit 2.1 to the Current Report on Form 8-K filed by Finisar Corporation (File No. 000-27999)
 on November 9, 2018).</A></TD></TR>
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<TD VALIGN="top" NOWRAP>*</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Schedules and exhibits have been omitted pursuant to Item 601(b)(2) of Regulation <FONT STYLE="white-space:nowrap">S-K.</FONT> A copy of any omitted schedule or exhibit will be furnished supplementally to the SEC upon
request.</TD></TR>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURE </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><B><FONT STYLE="white-space:nowrap">II-VI</FONT> Incorporated</B></TD></TR>
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<TD VALIGN="top">Date: November 9, 2018</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Mary Jane Raymond</P></TD></TR>
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<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Mary Jane Raymond</TD></TR>
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<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chief Financial Officer and Treasurer</TD></TR>
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