SEC Form 4 · accession 0001633978-17-000045
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
May 15, 2017
Accepted (ET)
May 17, 2017 · 7:48 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 | May 15, 2017 | M | 3,299 | $0.00 | A | 68,448 | D | |
| Common StockF2 | May 16, 2017 | F | 1,270 | $53.31 | D | 67,489 | D | |
| Common StockF4 | May 17, 2017 | S | 2,029 | $54.2569 | D | 65,460 | 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 | May 15, 2017 | M | 3,299 | D | May 15, 2017 | — | Common Stock | 3,299 | 16,493 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Includes 311 shares purchased on May 15, 2017 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F3Sale of shares pursuant to 10b5-1 plan dated 11/30/2016.
- F4The price is the weighted average sale price for the transactions reported on this line. The prices for the transactions reported on this line range from $54.00 to $54.95. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F5Restricted Stock Units have no expiration date.