SEC Form 4 · accession 0001437749-15-021437
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
Nov 20, 2015
Accepted (ET)
Nov 24, 2015 · 6:29 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 20, 2015 | M | 1,142 | $0.00 | A | 17,386 | D | |
| Common Stock | Nov 20, 2015 | F | 429 | $18.81 | D | 16,957 | D | |
| Common Stock | Nov 20, 2015 | M | 1,295 | $0.00 | A | 18,252 | D | |
| Common Stock | Nov 20, 2015 | F | 486 | $18.81 | D | 17,766 | 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 20, 2015 | M | 1,142 | D | Nov 20, 2015 | — | Common Stock | 1,142 | 3,429 | D |
| Restricted Stock UnitsF3 | $0.00 | Nov 20, 2015 | M | 1,295 | D | Nov 20, 2015 | — | Common Stock | 1,295 | 9,068 | 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.