SEC Form 4 · accession 0001633978-17-000072
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Tachibana
Officer — CFO
Period of report
Aug 15, 2017
Accepted (ET)
Aug 17, 2017 · 9:43 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 | Aug 15, 2017 | M | 6,401 | $0.00 | A | 50,365 | D | |
| Common Stock | Aug 16, 2017 | F | 2,438 | $52.81 | D | 47,927 | D | |
| Common Stock | Aug 15, 2017 | M | 2,474 | $0.00 | A | 50,401 | D | |
| Common Stock | Aug 16, 2017 | F | 943 | $52.81 | D | 49,458 | D | |
| Common Stock | Aug 17, 2017 | F | 3,565 | $52.12 | D | 45,893 | 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 UnitsF2 | $0.00 | Aug 15, 2017 | M | 6,401 | D | Aug 15, 2016 | — | Common Stock | 6,401 | 6,400 | D |
| Restricted Stock UnitsF2 | $0.00 | Aug 15, 2017 | M | 2,474 | D | Aug 15, 2017 | — | Common Stock | 2,474 | 9,896 | D |
Explanation of responses
- F1These shares were sold 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.
- F2Restricted Stock Units have no expiration date.