SEC Form 4 · accession 0001633978-17-000053
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 20, 2017
Accepted (ET)
May 23, 2017 · 6:48 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 20, 2017 | M | 1,295 | $0.00 | A | 66,755 | D | |
| Common Stock | May 22, 2017 | F | 490 | $53.90 | D | 66,265 | D | |
| Common Stock | May 23, 2017 | S | 805 | $58.15 | 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 UnitsF3 | $0.00 | May 20, 2017 | M | 1,295 | D | May 20, 2017 | — | Common Stock | 1,295 | 1,296 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Transaction pursuant to 10b5-1 plan dated 11/30/2016.
- F3Restricted Stock Units have no expiration date.