SEC Form 4 · accession 0001633978-17-000145
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Reinhardt
Officer — EVP, Global Sales
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 9:05 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 | 1,855 | $0.00 | A | 69,142 | D | |
| Common Stock | Nov 15, 2017 | F | 981 | $57.80 | D | 68,161 | D | |
| Common Stock | Nov 16, 2017 | F | 1,418 | $57.12 | D | 66,743 | 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 UnitsF3 | $0.00 | Nov 15, 2017 | M | 1,855 | D | Nov 15, 2017 | — | Common Stock | 1,855 | 5,565 | D |
Explanation of responses
- F1These shares were sold in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award.
- F2These shares were sold in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock award.
- F3Restricted Stock Units have no expiration date.