SEC Form 4 · accession 0001633978-16-000136
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan S Lowe
Officer — CEO and President
Period of report
Nov 20, 2016
Accepted (ET)
Nov 22, 2016 · 7:17 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 20, 2016 | M | 2,285 | $0.00 | A | 148,162 | D | |
| Common Stock | Nov 20, 2016 | F | 1,192 | $42.20 | D | 146,970 | D | |
| Common Stock | Nov 22, 2016 | S | 1,093 | $40.50 | D | 145,877 | 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 | Nov 20, 2016 | M | 2,285 | D | Nov 20, 2016 | — | Common Stock | 2,285 | 6,857 | 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.
- F3Sale of shares pursuant to 10b5-1 plan dated 5/31/2016.
- F4Restricted Stock Units have no expiration date.