Investor Relations

  

Ownership

OWNERSHIP OF COMMON STOCK BY DIRECTORS AND EXECUTIVE OFFICERS

   The following table sets forth, as of April 24, 2012, the beneficial ownership of the Company’s common stock by each of the Company’s directors, each executive officer named in the Summary Compensation Table, and by all directors 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)
580,940
 15.1%
Daniel Rooney (5)
151,752
 3.9%
Walter J. Doyle (6)
140,488
 3.6%
Scott Campbell (7) 104,200 2.7%
Michael K. Barna (8)
102,200
 2.6%
Robert J. Baker Jr. (9)
89,051
 2.3%
Edward W. Ungar (10)
75,188
 1.9%
Gerald S. Blaskie (11) 54,000 1.4%
All Directors and Executive Officers as a group (8 persons) (12) 1,297,819 29.6%

(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 exercises sole or shared voting or investment power or as to which he has the right to acquire the beneficial ownership within 60 days of April 24, 2012. 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 24, 2012, plus the number of shares such person has the right to acquire within 60 days of April 24, 2012.

(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. Mr. Peitz’ ownership also includes 42,500 shares of common stock, which can be acquired by Mr. Peitz under stock options exercisable within 60 days of April 24, 2012.

(5) Includes 110,600 common shares, which may be acquired by Mr. Rooney under stock options exercisable within 60 days of April 24, 2012 and 11,300 shares which are held in Mr. Rooney’s IRA.

(6) Includes 42,500 common shares, which may be acquired by Mr. Doyle under stock options exercisable within 60 days of April 24, 2012.

(7) Includes 104,200 common shares, which may be acquired by Dr. Campbell under stock options exercisable within 60 days of April 24, 2012.

(8) Includes 97,200 common shares, which may be acquired by Mr. Barna under stock options exercisable within 60 days of April 24, 2012 and 2,000 shares which are held in Mr. Barna’s IRA.

(9) Includes 62,500 common shares, which may be acquired by Dr. Baker under stock options exercisable within 60 days of April 24, 2012, and 16,063 shares which are held in Dr. Baker’s IRA.

(10) Includes 62,500 common shares, which may be acquired by Mr. Ungar under stock options exercisable within 60 days of April 24, 2012.

(11) Includes 53,000 common shares, which may be acquired by Mr. Blaskie under stock options exercisable within 60 days of April 24, 2012.

(12) Includes 575,000 common shares, which may be acquired under stock options exercisable within 60 days of April 24, 2012.

OWNERSHIP OF COMMON STOCK BY PRINCIPAL SHAREHOLDERS

The following table sets forth information as of April 24, 2012, 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)
580,940
15.1%
Curtis A. Loveland (5)
329,456
8.6%
Windcom Investments SA (6) 319,187 8.4%
Laura Shunk 312,033 8.2%
Daniel Funk
297,077
7.8%

(1) The address of Robert H. Peitz is c/o SCI Engineered Materials, Inc., 2839 Charter Street, Columbus, Ohio 43228. The address of Curtis A. Loveland is c/o Porter, Wright, Morris & Arthur LLP, 41 South High Street, Columbus, Ohio 43215. The address of Windcom Investments SA is via 5 Bagutti 5, 6900 Lugano, Switzerland. The address of Laura Shunk is PO Box 490, Chesterland, Ohio 44026. The address of Daniel Funk is 2123 Auburn Avenue, Suite 322, Cincinnati, Ohio 45219.

(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 24, 2012. 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 24, 2012, plus the number of shares such person has the right to acquire within 60 days of April 24, 2012.

(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. Mr. Peitz’ ownership also includes 42,500 shares of common stock, which can be acquired by Mr. Peitz under stock options exercisable within 60 days of April 24, 2012.

(5) Includes 40,000 shares of common stock, which can be acquired by Mr. Loveland under stock options exercisable within 60 days of April 24, 2012.

(6) Dr. Karl Kohlbrenner, CEO of Windcom Investments SA, has voting and dispositive power over the shares of common stock on behalf of Windcom Investments SA.