SEC Form 4 · accession 0001633978-17-000101
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
Sep 28, 2017
Accepted (ET)
Oct 2, 2017 · 6:50 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 | Sep 28, 2017 | M | 20,471 | $25.05 | A | 110,770 | D | |
| Common StockF1 | Sep 28, 2017 | S | 20,471 | $54.425 | D | 90,299 | D | |
| Common Stock | Sep 28, 2017 | M | 10,235 | $25.05 | A | 100,534 | D | |
| Common StockF1 | Sep 28, 2017 | S | 8,235 | $54.425 | D | 92,299 | D | |
| Common StockF2 | Sep 28, 2017 | S | 2,000 | $54.98 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $25.05 | Sep 28, 2017 | M | 20,471 | D | Feb 15, 2012 | Feb 15, 2019 | Common Stock | 20,471 | 10,235 | D |
| Employee Stock Option (Right to Buy)F3 | $25.05 | Sep 28, 2017 | M | 10,235 | D | Feb 15, 2012 | Feb 15, 2019 | Common Stock | 10,235 | 0 | D |
Explanation of responses
- F1The price is the weighted average sale price for the transactions reported on this line. The prices for the transactions reported on this line range from $53.90 to $54.85. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2The price is the weighted average sale price for the transactions reported on this line. The prices for the transactions reported on this line range from $54.90 to $55.15. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3Transaction pursuant to 10b5-1 plan dated 11/30/2016.