SEC Form 4 · accession 0001437749-15-017811
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent Retort
Officer — SVP, Research & Development
Period of report
Sep 25, 2015
Accepted (ET)
Sep 29, 2015 · 9:10 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 | Sep 25, 2015 | M | 4,432 | $16.98 | A | 11,233 | D | |
| Common Stock | Sep 25, 2015 | F | 1,665 | $16.98 | D | 9,568 | D | |
| Common Stock | Sep 25, 2015 | M | 3,028 | $16.98 | A | 12,596 | D | |
| Common Stock | Sep 25, 2015 | F | 1,137 | $16.98 | D | 11,459 | D | |
| Common Stock | Sep 25, 2015 | M | 6,323 | $16.98 | A | 17,782 | D | |
| Common StockF3 | Sep 25, 2015 | F | 2,376 | $16.98 | D | 16,244 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF4 | $0.00 | Sep 25, 2015 | M | 4,432 | D | Sep 25, 2015 | — | Common Stock | 4,432 | 0 | D |
| Performance Stock UnitsF4 | $0.00 | Sep 25, 2015 | M | 3,028 | D | Sep 25, 2015 | — | Common Stock | 3,028 | 4,549 | D |
| Performance Stock UnitsF4 | $0.00 | Sep 25, 2015 | M | 6,323 | D | Sep 25, 2015 | — | Common Stock | 6,323 | 10,316 | 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.
- F3838 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.
- F4Restricted Stock Units have no expiration date.