SEC Form 4 · accession 0001437749-15-021375
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan S Lowe
Officer — CEO and President · Director
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 7:06 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 Stock | Nov 19, 2015 | D | 26,376 | $0.00 | D | 44,456 | D | |
| Common Stock | Nov 19, 2015 | J | 26,376 | $0.00 | A | 26,376 | I | Family Trust |
| Common Stock | Nov 20, 2015 | M | 2,743 | $0.00 | A | 47,199 | D | |
| Common Stock | Nov 20, 2015 | F | 1,431 | $18.81 | D | 45,768 | D | |
| Common Stock | Nov 20, 2015 | M | 2,285 | $0.00 | D | 48,053 | D | |
| Common Stock | Nov 20, 2015 | F | 1,192 | $18.81 | D | 46,861 | 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 UnitsF4 | $0.00 | Nov 20, 2015 | M | 2,743 | D | Nov 20, 2015 | — | Common Stock | 2,743 | 8,229 | D |
| Restricted Stock UnitsF4 | $0.00 | Nov 20, 2015 | M | 2,285 | D | Nov 20, 2015 | — | Common Stock | 2,285 | 15,999 | D |
Explanation of responses
- F1Shares transferred from self to The Alan and Julie Lowe Family Trust Dated October 10, 1996.
- F2Each unit converts upon vesting into one share of common stock.
- F3These 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.
- F4Restricted Stock Units have no expiration date.