SEC Form 4 · accession 0001437749-15-015557
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Tachibana
Officer — CFO
Period of report
Aug 7, 2015
Accepted (ET)
Aug 11, 2015 · 8:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001633978
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Aug 7, 2015 | J | 16,377 | A | — | — | Common Stock | 16,377 | 16,377 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Aug 7, 2015 | J | 11,463 | A | — | — | Common Stock | 11,463 | 11,463 | D |
Explanation of responses
- F1In connection with the spin-off of the Issuer from JDS Uniphase Corporation ("JDSU") on August 1, 2015 (the "Spin-Off"), each outstanding JDSU RSU award was converted into a RSU award denominated in shares of the Issuer's common stock pursuant to the terms of the employee matters agreement between JDSU and the Issuer. The number of underlying shares was adjusted in a manner intended to preserve the economic value of the original JDSU RSU award prior to the Spin-Off. Each RSU represents a contingent right to receive one share of the Issuer's underlying common stock.
- F2Restricted Stock Units have no expiration date.