SEC Form 4 · accession 0001633978-17-000084
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
Vincent Retort
Officer — EVP and COO
Period of report
Aug 18, 2017
Accepted (ET)
Aug 22, 2017 · 6:33 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 StockF1 | Aug 18, 2017 | A | 32,216 | $0.00 | A | 90,812 | D | |
| Common StockF1 | Aug 18, 2017 | A | 11,275 | $0.00 | A | 102,087 | D | |
| Common Stock | Aug 20, 2017 | M | 1,296 | $0.00 | A | 103,383 | D | |
| Common Stock | Aug 21, 2017 | F | 689 | $51.1003 | D | 102,694 | 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 20, 2017 | M | 1,296 | D | Aug 20, 2017 | — | Common Stock | 1,296 | 0 | D |
Explanation of responses
- F1New RSU grant award vests 33% on 1st anniversary of grant date then 8 quarterly equal installments over following 2 years.
- F2Restricted Stock Units have no expiration date.