SEC Form 4 · accession 0001633978-16-000110
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin A Kaplan
Director
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 8:45 pm EST
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,F2 | Nov 11, 2016 | A | 4,264 | $0.00 | A | 24,451 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc.
- F2Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Upon retirement of an outside Director, all unvested RSUs will automatically vest in full.