SEC Form 4 · accession 0001633978-16-000130
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent Retort
Officer — EVP and COO
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 8:11 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 Stock | Nov 15, 2016 | M | 3,299 | $0.00 | A | 67,920 | D | |
| Common StockF3 | Nov 15, 2016 | F | 1,721 | $38.80 | D | 66,727 | D | |
| Common Stock | Nov 17, 2016 | S | 1,578 | $40.45 | D | 65,149 | 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 UnitsF5 | $0.00 | Nov 15, 2016 | M | 3,299 | D | Nov 15, 2016 | — | Common Stock | 3,299 | 23,091 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2These 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.
- F3Includes 528 shares purchased on November 15, 2016 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F4Sale of shares pursuant to 10b5-1 plan dated 11/27/2015.
- F5Restricted Stock Units have no expiration date.