SEC Form 4 · accession 0001437749-15-021091
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin A Kaplan
Director
Period of report
Nov 14, 2015
Accepted (ET)
Nov 17, 2015 · 7:50 pm EST
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 StockF2 | Nov 14, 2015 | M | 1,924 | $0.00 | A | 12,270 | D | |
| Common Stock | Nov 15, 2015 | M | 2,579 | $0.00 | A | 14,849 | 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 | Nov 14, 2015 | M | 1,924 | D | Nov 14, 2015 | — | Common Stock | 1,924 | 1,924 | D |
| Restricted Stock UnitsF3 | $0.00 | Nov 15, 2015 | M | 2,579 | D | Nov 15, 2015 | — | Common Stock | 2,579 | 0 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F210,346 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.
- F3Restricted Stock Units Have no expiration date.