SEC Form 4 · accession 0001633978-17-000099
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent Retort
Officer — EVP and COO
Period of report
Sep 25, 2017
Accepted (ET)
Sep 26, 2017 · 5:20 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,F2 | Sep 25, 2017 | M | 5,158 | $0.00 | A | 92,977 | D | |
| Common StockF3 | Sep 25, 2017 | F | 2,678 | $51.90 | D | 90,299 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF4 | $0.00 | Sep 25, 2017 | M | 5,158 | D | Sep 25, 2017 | — | Common Stock | 5,158 | 0 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Performance shares that vested upon achievement of established target goals.
- F3These shares were retained by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the performance stock unit award.
- F4Performance Stock Units have no expiration date.