SEC Form 4 · accession 0001633978-17-000141
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan S Lowe
Officer — CEO and President
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 9:00 pm EST
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 | Nov 15, 2017 | M | 12,783 | $0.00 | A | 250,593 | D | |
| Common Stock | Nov 16, 2017 | F | 6,758 | $57.80 | D | 243,835 | D | |
| Common StockF1 | Nov 17, 2017 | S | 5,625 | $57.09 | D | 238,210 | D | |
| Common StockF2,F3 | Nov 17, 2017 | S | 400 | $57.69 | D | 237,888 | 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 UnitsF4 | $0.00 | Nov 15, 2017 | M | 12,783 | D | Nov 15, 2017 | — | Common Stock | 12,783 | 38,349 | 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 $56.65 to $57.60. 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 $57.65 to $57.80. 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.
- F3Includes 78 shares purchased on November 15, 2017 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F4Restricted Stock Units have no expiration date.