SEC Form 4/A · accession 0001633978-17-000113
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).
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Aaron Tachibana
Officer — CFO
Period of report
Aug 18, 2017
Accepted (ET)
Oct 16, 2017 · 6:31 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 | Aug 18, 2017 | A | 9,713 | $0.00 | A | 55,606 | D | |
| Common StockF1,F2 | Aug 18, 2017 | A | 3,237 | $0.00 | A | 58,843 | D | |
| Common StockF2,F3 | Aug 18, 2017 | A | 5,396 | $0.00 | A | 64,239 | D | |
| Common StockF2,F4 | Aug 18, 2017 | A | 9,037 | $0.00 | A | 73,276 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1New RSU grant award vests 33% on 1st anniversary of grant date then 8 quarterly equal installments over following 2 years.
- F2This form is being amended to update the number of shares awarded as 14,497, 4,832 and 8,054 Restricted Stock Units to 9,713, 3,237 and 5,396 Restricted Stock Units and 9,037 Performance Stock Units respectively.
- F3New RSU grant vests in equal installments on the anniversary of grant date over 3 years.
- F4Performance shares that vested upon achievement of established target goals.