SEC Form 4 · accession 0001633978-17-000047
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Tachibana
Officer — CFO
Period of report
May 15, 2017
Accepted (ET)
May 17, 2017 · 7:50 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 | 2,474 | $0.00 | A | 45,495 | D | |
| Common StockF2 | May 16, 2017 | F | 953 | $53.31 | D | 44,889 | D | |
| Common Stock | May 17, 2017 | S | 1,521 | $54.40 | D | 43,368 | 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 | May 15, 2017 | M | 2,474 | D | May 15, 2017 | — | Common Stock | 2,474 | 12,370 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Includes 347 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 8/26/2016.
- F4Restricted Stock Units have no expiration date.