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 <P STYLE="line-height:3.0pt;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): February&nbsp;1, 2019 </B></P>
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<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>
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<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>
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<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>
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<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 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>
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<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>
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<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>
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<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 <FONT
STYLE="white-space:nowrap">Rule&nbsp;12b-2&nbsp;of</FONT> the Securities Exchange Act of 1934 (17 <FONT STYLE="white-space:nowrap">CFR&nbsp;&#167;240.12b-2).&nbsp;Emerging</FONT> 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>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;8.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Other Events. </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The management of <FONT STYLE="white-space:nowrap">II-VI</FONT> Incorporated (the &#147;Company&#148; or
<FONT STYLE="white-space:nowrap">&#147;II-VI&#148;)</FONT> will be presenting at investor conferences in the near future. The presentation material is attached hereto as Exhibit 99.1 and incorporated herein by reference. This material may also be
used at one or more subsequent conferences. The information contained in the attached presentation material is summary information that is intended to be considered in the context of the Company&#146;s SEC filings and other public announcements. The
Company undertakes no duty or obligation to publicly update or revise this information, although it may do so from time to time. </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 Corporation (&#147;Finisar&#148;) 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> 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>
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 <P STYLE="margin-top:0pt; 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 <FONT STYLE="white-space:nowrap">https://www.ii-vi.com/investor-relations/.</FONT> Copies of the documents filed with the SEC by Finisar will be available free of charge on Finisar&#146;s internet website at
http://investor.finisar.com/investor-relations. </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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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;9.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Financial Statements and Exhibits. </B></P></TD></TR></TABLE>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" NOWRAP>Exhibit&nbsp;99.1.</TD>
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<TD VALIGN="top"><A HREF="d671046dex991.htm">Investor conference presentation materials titled &#147;Investor Presentation December 2018&#148; used beginning February&nbsp;1, 2019. </A></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="bottom" COLSPAN="3"><B><FONT STYLE="white-space:nowrap">II-VI</FONT> Incorporated</B></TD></TR>
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<TD VALIGN="top">Date: February&nbsp;1, 2019</TD>
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<TD VALIGN="bottom">By:</TD>
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<TD VALIGN="bottom"> <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="bottom">Mary Jane Raymond</TD></TR>
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<TD VALIGN="bottom">Chief Financial Officer and Treasurer</TD></TR>
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Form 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event Reported): February 1, 2019
II-VI
Incorporated
(Exact Name of Registrant as Specified in Charter)
PENNSYLVANIA
0-16195
25-1214948
(State or Other Jurisdiction
of Incorporation)
(Commission
File Number)
(I.R.S. Employer
Identification Number)
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))
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 §230.405) or
Rule 12b-2 of
the Securities Exchange Act of 1934 (17
CFR §240.12b-2). 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 8.01.
Other Events.
The management of
II-VI
Incorporated (the "Company" or
"II-VI")
will be presenting at investor conferences in the near future. The presentation material is attached hereto as Exhibit 99.1 and incorporated herein by reference. This material may also be
used at one or more subsequent conferences. The information contained in the attached presentation material is summary information that is intended to be considered in the context of the Company's SEC filings and other public announcements. The
Company undertakes no duty or obligation to publicly update or revise this information, although it may do so from time to time.
Forward-looking
Statements
This communication contains "forward-looking statements" within the meaning of the federal securities laws, including
Section 27A of the Securities Act of 1933, as amended, and Section 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 "expect," "anticipate," "intend," "plan," "believe," "seek," "see," "will," "would," "target,"
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) the ability of
II-VI
and Finisar Corporation ("Finisar") to complete the proposed transaction on the anticipated terms and timing or at all, (ii) the ability of the parties to satisfy
the conditions to the closing of the proposed transaction, including obtaining required regulatory approvals, (iii) potential litigation relating to the proposed transaction, which could be instituted against
II-VI,
Finisar or their respective directors, (iv) potential adverse reactions or changes to business relationships resulting from the announcement or completion of the transaction, (v) the
triggering of any third party contracts containing consent and/or other similar provisions, (vi) any negative effects of the announcement of the transaction on the market price of Finisar's common stock and/or negative effects of the
announcement or commencement of the transaction on the market price of
II-VI's
common stock, (vii) uncertainty as to the long-term value of
II-VI's
common
stock, and thus the value of the
II-VI
shares to be issued in the transaction, (viii) 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's operations after the consummation of
the transaction and on the other conditions to the completion of the merger, (ix) inherent risks, costs and uncertainties associated with integrating the businesses successfully and achieving all or any of the anticipated synergies,
(x) potential disruptions from the proposed transaction that may harm
II-VI's
or Finisar's respective businesses, including current plans and operations, (xi) the ability of
II-VI
and Finisar to retain and hire key personnel, (xii) 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) the ability of
II-VI
to obtain or consummate financing or
refinancing related to the transaction upon acceptable terms or at all, (xiv) economic uncertainty due to monetary or trade policy, political or other issues in the United States or internationally, (xv) any unexpected fluctuations or
weakness in the U.S. and global economies, (xvi) changes in U.S. corporate tax laws as a result of the Tax Cuts and Jobs Act of 2017 and any future legislation, (xvii) foreign currency effects on
II-VI's
and Finisar's respective businesses, (xviii) 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) changes in utilization of
II-VI
or Finisar's manufacturing capacity and
II-VI's
ability to
effectively manage and expand its production levels, (xx) disruptions in
II-VI's
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) the responses by the respective managements of
II-VI
and Finisar to any of the
aforementioned factors. Additional risks are described under the heading "Risk Factors" in
II-VI's
Annual Report on Form
10-K
for the year ended
June 30, 2018, filed with the U.S. Securities and Exchange Commission (the "SEC") on August 28, 2018 and in Finisar's Annual Report on Form
10-K
for the year ended April 29, 2018
filed with the SEC on June 15, 2018.
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
S-4
that will be filed with the SEC in connection with the proposed transaction (the "Form
S-4").
While the list of factors discussed above is, and the list of factors to be presented in the Form
S-4
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
II-VI
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.
No Offer or Solicitation
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 10 of the Securities Act of
1933, as amended, and otherwise in accordance with applicable law.
Additional Information and Where to Find It
In connection with the proposed transaction between
II-VI
and Finisar,
II-VI
and Finisar will file relevant materials with the SEC, including a registration statement on Form
S-4
filed by
II-VI
that will include a joint proxy statement of
II-VI
and Finisar that also constitutes a prospectus of
II-VI,
and a definitive joint proxy statement/prospectus that will be mailed to shareholders of
II-VI
and stockholders of Finisar. INVESTORS AND SECURITY HOLDERS OF
II-VI
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
S-4
and the joint proxy statement/prospectus (when available) and other documents filed with the SEC by
II-VI
or Finisar through the website maintained by the SEC at
http://www.sec.gov. Copies of the documents filed with the SEC by
II-VI
will be available free of charge within the Investor Relations section of
II-VI's
internet
website at
https://www.ii-vi.com/investor-relations/.
Copies of the documents filed with the SEC by Finisar will be available free of charge on Finisar's internet website at
http://investor.finisar.com/investor-relations.
Participants in Solicitation
II-VI,
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
II-VI
is set forth in its Annual Report on Form
10-K
for the year ended June 30, 2019, which was filed with the SEC on August 28, 2018, and its definitive proxy statement for its 2018 annual meeting of stockholders, which was filed with the SEC on
March 31, 2017. Information about the directors and executive officers of Finisar is set forth in its Annual Report on Form
10-K
for the year ended April 29, 2018, which was filed with the SEC on
June 15, 2018, and its definitive proxy statement for its 2018 annual meeting of stockholders, which was filed with the SEC on July 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.
Item 9.01.
Financial Statements and Exhibits.
Exhibit 99.1.
Investor conference presentation materials titled "Investor Presentation December 2018" used beginning February 1, 2019.
SIGNATURE
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 1, 2019
By:
/s/ Mary Jane Raymond
Mary Jane Raymond
Chief Financial Officer and Treasurer