SEC Form 4 · accession 0001633978-17-000074
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Reinhardt
Officer — EVP, Global Sales
Period of report
Aug 15, 2017
Accepted (ET)
Aug 17, 2017 · 9:44 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 | 1,856 | $0.00 | A | 46,434 | D | |
| Common Stock | Aug 15, 2017 | F | 707 | $52.81 | D | 45,727 | D | |
| Common Stock | Aug 15, 2017 | M | 4,924 | $0.00 | A | 50,651 | D | |
| Common Stock | Aug 15, 2017 | F | 1,875 | $52.81 | D | 48,776 | D | |
| Common Stock | Aug 15, 2017 | F | 4,040 | $52.12 | D | 44,736 | 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 | 1,856 | D | Aug 15, 2017 | — | Common Stock | 1,856 | 7,420 | D |
| Restricted Stock UnitsF2 | $0.00 | Aug 15, 2017 | M | 4,924 | D | Aug 15, 2017 | — | Common Stock | 4,924 | 4,923 | 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.