SEC Form 4/A · accession 0001633978-17-000105
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Vincent Retort
Officer — EVP and COO
Period of report
Sep 28, 2017
Accepted (ET)
Oct 10, 2017 · 11:53 am 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 | Sep 28, 2017 | M | 20,471 | $45.89 | A | 110,770 | D | |
| Common StockF1 | Sep 28, 2017 | M | 10,235 | $45.89 | A | 100,534 | 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,F1,F2 | $45.89 | Sep 28, 2017 | M | 20,471 | D | Aug 1, 2015 | Feb 15, 2019 | Common Stock | 20,471 | 0 | D |
| Employee Stock Option (Right to Buy)F1,F2 | $45.89 | Sep 28, 2017 | M | 10,235 | D | Aug 1, 2015 | Feb 15, 2019 | Common Stock | 10,235 | 0 | D |
Explanation of responses
- F1This amendment is to correct the Exercise Price of the Derivative Security and the shares acquired upon exercise from $25.05 to $45.89.
- F2This amendment is to correct the date exercisable from 2/15/12 to 8/1/15.
- F3The number of derivative securities beneficially owned following reported transaction from 10,235 to 0.