SEC Form 4 · accession 0001633978-16-000073
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Tachibana
Officer — CFO
Period of report
Aug 19, 2016
Accepted (ET)
Aug 23, 2016 · 8:00 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 StockF1 | Aug 19, 2016 | S | 6,086 | $34.64 | D | 13,239 | D | |
| Common Stock | Aug 22, 2016 | M | 960 | $0.00 | A | 14,199 | D | |
| Common Stock | Aug 22, 2016 | F | 360 | $34.60 | D | 13,839 | 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 | Aug 22, 2016 | M | 960 | D | Aug 20, 2016 | — | Common Stock | 960 | 3,839 | D |
Explanation of responses
- F1All shares sold at an average price $34.631704 (price range $34.63 to $34.65) for the transaction reported on this line.
- 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.