SEC Form 4 · accession 0001633978-16-000065
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Vincent Retort
Officer — EVP and COO
Period of report
Aug 16, 2016
Accepted (ET)
Aug 18, 2016 · 8:03 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 16, 2016 | S | 8,114 | $32.59 | D | 587 | 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 16, 2016 | A | 64,034 | A | — | — | Common Stock | 64,034 | 64,034 | D |
Explanation of responses
- F1Transaction pursuant to 10b5-1 plan dated 11/27/2015.
- F2Grant awarded August 16, 2016, vests 33% on 1st anniversary of grant date then 8 quarterly equal installments over following 2 years.
- F3Restricted Stock Units have no expiration date.