SEC Form 4 · accession 0001633978-17-000076
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judy G Hamel
Officer — General Counsel & Secretary
Period of report
Aug 15, 2017
Accepted (ET)
Aug 17, 2017 · 9:45 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 | 515 | $0.00 | A | 19,658 | D | |
| Common Stock | Aug 16, 2017 | F | 197 | $52.81 | D | 19,461 | D | |
| Common Stock | Aug 15, 2017 | M | 3,693 | $0.00 | A | 23,154 | D | |
| Common Stock | Aug 16, 2017 | F | 1,407 | $52.81 | D | 21,747 | D | |
| Common Stock | Aug 15, 2017 | F | 1,545 | $52.12 | D | 20,202 | 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 UnitsF1 | $0.00 | Aug 15, 2017 | M | 515 | D | Aug 15, 2017 | — | Common Stock | 515 | 2,060 | D |
| Restricted Stock UnitsF1 | $0.00 | Aug 15, 2017 | M | 3,693 | D | Aug 15, 2017 | — | Common Stock | 3,693 | 3,692 | D |
Explanation of responses
- F1Restricted Stock Units have no expiration date.