SEC Form 4 · accession 0001437749-15-016476
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judy G Hamel
Officer — General Counsel & Secretary
Period of report
Aug 24, 2015
Accepted (ET)
Aug 26, 2015 · 8:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001633978
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 24, 2015 | M | 137 | $0.00 | A | 137 | D | |
| Common Stock | Aug 24, 2015 | F | 59 | $21.20 | D | 78 | D | |
| Common Stock | Aug 24, 2015 | M | 907 | $0.00 | A | 985 | D | |
| Common StockF4 | Aug 24, 2015 | F | 397 | $21.20 | D | 677 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | $0.00 | Aug 24, 2015 | M | 137 | D | Aug 20, 2015 | — | Common Stock | 137 | 548 | D |
| Restricted Stock UnitsF3 | $0.00 | Aug 24, 2015 | M | 907 | D | Aug 20, 2015 | — | Common Stock | 907 | 1,840 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2These shares were retained by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award. The amount retained by the Company was not in excess of the amount of the tax liability.
- F3Restricted Stock Units have no expiration date.
- F489 shares of this total number were shares of JDSU Common Stock for which stockholders received one share of Lumentum Common Stock for every five shares of JDSU Common Stock at the time of separation.