SEC Form 4 · accession 0001633978-16-000053
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin A Kaplan
Director
Period of report
Aug 15, 2016
Accepted (ET)
Aug 17, 2016 · 7:43 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 | Aug 15, 2016 | M | 3,283 | $0.00 | A | 20,187 | 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 UnitsF2,F3 | $0.00 | Aug 15, 2016 | M | 3,283 | D | Aug 15, 2016 | — | Common Stock | 3,283 | 6,564 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Grant Award annual vesting start date corrected to August 15, 2015.
- F3Restricted Stock Units have no expiration date.