OWNERSHIP OF COMMON STOCK BY DIRECTORS AND EXECUTIVE OFFICERS
The following table sets forth, as of April 20, 2016, the beneficial ownership of the Company’s common stock by each of the Company’s directors and nominees for director, each executive officer named in the Summary Compensation Table, and by all directors and nominees for director, and executive officers as a group.
| NAME OF BENEFICIAL OWNER (1) |
NUMBER OF SHARES BENEFICIALLY OWNED (2) |
PERCENTAGE OF CLASS (3) |
| Robert H. Peitz (4) |
567,940
|
14.1% |
| Laura F. Shunk |
415,033
|
10.3% |
| Daniel Rooney (5) |
222,464
|
5.3% |
| Michael K. Barna (6) | 97,159 | 2.4% |
| Gerald S. Blaskie(7) |
88,123
|
2.1% |
| Edward W. Ungar |
42,188
|
1.0% |
| Emily Lu |
32,894
|
0.8% |
| All Directors and Executive Officers as a group (7 persons) (8) | 1,465,801 | 33.5% |
(1) The address for all is c/o SCI Engineered Materials, Inc., 2839 Charter Street, Columbus, Ohio 43228.
(2) For purposes of the above table, a person is considered to “beneficially own” any shares with respect to which he or she exercises sole or shared voting or investment power or as to which he or she has the right to acquire the beneficial ownership within 60 days of April 20, 2016. Unless otherwise indicated, voting power and investment power are exercised solely by the person named above or shared with members of his or her household.
(3) “Percentage of Class” is calculated by dividing the number of shares beneficially owned by the total number of outstanding shares of the Company on April 20, 2016, plus the number of shares such person has the right to acquire within 60 days of April 20, 2016.
(4) Mr. Peitz’ ownership includes 155,412 shares of common stock beneficially owned by Park National Bank (Trustee for the Ingeborg Funk Children’s Trust). Mr. Peitz includes these shares because he has the power to dispose of the shares.
(5) Includes 166,812 common shares which may be acquired by Mr. Rooney under stock options exercisable within 60 days of April 20, 2016, and 23,800 shares which are held in Mr. Rooney’s IRA.
(6) Includes 93,637 common shares which may be acquired by Mr. Barna under stock options exercisable within 60 days of April 20, 2016, and 2,000 shares which are held in Mr. Barna’s IRA.
(7) Includes 87,123 common shares which may be acquired by Mr. Blaskie under stock options exercisable within 60 days of April 20, 2016.
(8)Includes 347,572 common shares which may be acquired under stock options exercisable within 60 days of April 20, 2016.
OWNERSHIP OF COMMON STOCK BY PRINCIPAL SHAREHOLDERS
The following table sets forth information as of April 20, 2016, relating to the beneficial ownership of common stock by each person known by the Company to own beneficially more than 5% of the outstanding shares of common stock of the Company.
| NAME OF BENEFICIAL OWNER (1) |
NUMBER OF SHARES
BENEFICIALLY OWNED (2) |
PERCENTAGE OF
CLASS (3) |
| Robert H. Peitz (4) |
567,940
|
14.1%
|
| Laura F. Shunk |
415,033
|
10.3%
|
| Daniel Funk | 391,977 | 9.7% |
| Curtis A. Loveland | 298.456 | 7.2% |
(1) The address of Robert H. Peitz and Laura F. Shunk is c/o SCI Engineered Materials, Inc., 2839 Charter Street, Columbus, Ohio 43228. The address of Daniel Funk is 2123 Auburn Avenue, Suite 322, Cincinnati, Ohio 45219. The address of Curtis A. Loveland is c/o Porter, Wright, Morris & Arthur LLP, 41 South High Street, Columbus, Ohio 43215.
(2) For purposes of this table, a person is considered to “beneficially own” any shares with respect to which he or she exercises sole or shared voting or investment power or as to which he or she has the right to acquire the beneficial ownership within 60 days of April 20, 2016. Unless otherwise indicated, voting power and investment power are exercised solely by the person named above or shared with members of his or her household.
(3) “Percentage of Class” is calculated by dividing the number of shares beneficially owned by the total number of outstanding shares of the Company on April 20, 2016, plus the number of shares such person has the right to acquire within 60 days of April 22, 2016.
(4) Mr. Peitz’ ownership includes 155,412 shares of common stock beneficially owned by Park National Bank (Trustee for the Ingeborg Funk Children’s Trust). Mr. Peitz includes these shares because he has the power to dispose of the shares.
