SEC Form 4 · accession 0001633978-16-000025
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent Retort
Officer — EVP and COO
Period of report
May 20, 2016
Accepted (ET)
May 24, 2016 · 7:00 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 StockF2 | May 20, 2016 | M | 1,143 | $0.00 | A | 15,115 | D | |
| Common Stock | May 20, 2016 | F | 429 | $0.00 | D | 14,686 | D | |
| Common Stock | May 20, 2016 | M | 1,295 | $0.00 | A | 15,981 | D | |
| Common Stock | May 20, 2016 | F | 486 | $0.00 | D | 15,495 | 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 | May 20, 2016 | M | 1,143 | D | May 20, 2016 | — | Common Stock | 1,143 | 1,143 | D |
| Common StockF4 | $0.00 | May 20, 2016 | M | 1,295 | D | May 20, 2016 | — | Common Stock | 1,295 | 6,477 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Includes 587 shares purchased on May 13, 2016 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- 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.