SEC Form 4/A · accession 0001633978-16-000093
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Vincent Retort
Officer — EVP and COO
Period of report
Aug 16, 2016
Accepted (ET)
Sep 1, 2016 · 8:10 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 | |
| Common StockF2,F3 | Aug 16, 2016 | A | 64,034 | $0.00 | A | 64,621 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction pursuant to 10b5-1 plan dated 11/27/2015.
- F2This amended Form 4 is being filed to reflect that the award granted to the reporting person on August 16, 2016 is a restricted stock award and to report the award in Table I. The original Form 4 reporting the award reflected a grant of restricted stock units and such award was reported in Table II. All other terms of the award are the same.
- F3Grant of restricted common stock awarded August 16, 2016, vests 33% on 1st anniversary of grant date then 8 quarterly equal installments over following 2 years.