SEC Form 4 · accession 0001633978-17-000080
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Alan S Lowe
Officer — CEO and President
Period of report
Aug 17, 2017
Accepted (ET)
Aug 21, 2017 · 9:34 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 17, 2017 | S | 7,916 | $52.6205 | D | 141,162 | D | |
| Common Stock | Aug 17, 2017 | M | 45,993 | $0.00 | A | 187,155 | D | |
| Common Stock | Aug 18, 2017 | F | 23,384 | $52.0627 | D | 163,771 | D | |
| Common StockF1 | Aug 17, 2017 | M | 9,232 | $0.00 | A | 173,003 | D | |
| Common Stock | Aug 18, 2017 | F | 4,817 | $51.35 | D | 168,186 | D | |
| Common StockF2 | Aug 18, 2017 | A | 64,432 | $0.00 | A | 232,618 | D | |
| Common StockF2 | Aug 18, 2017 | A | 32,216 | $0.00 | A | 264,834 | D | |
| Common Stock | Aug 20, 2017 | M | 2,286 | $0.00 | A | 267,120 | D | |
| Common Stock | Aug 21, 2017 | F | 1,215 | $51.1003 | D | 265,905 | 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 | Aug 17, 2017 | M | 45,993 | D | Aug 17, 2017 | — | Common Stock | 45,993 | 93,377 | D |
| Performance Stock UnitsF1,F4 | $0.00 | Aug 17, 2017 | M | 9,232 | D | Aug 17, 2017 | — | Common Stock | 9,232 | 9,232 | D |
| Restricted Stock UnitsF3 | $0.00 | Aug 20, 2017 | M | 2,286 | D | Aug 20, 2017 | — | Common Stock | 2,286 | 0 | D |
Explanation of responses
- F1Performance shares that vested upon achievement of established target goals.
- F2New RSU grant award vests 33% on 1st anniversary of grant date then 8 quarterly equal installments over following 2 years.
- F3Restricted Stock Units have no expiration date.
- F4Performance Stock Units have no expiration date.