SEC Form 4 · accession 0001633978-17-000151
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 20, 2017
Accepted (ET)
Nov 21, 2017 · 7:27 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 StockF1 | Nov 20, 2017 | F | 6,125 | $57.50 | D | 231,763 | D | |
| Common StockF2,F3 | Nov 21, 2017 | S | 5,548 | $58.5303 | D | 226,215 | D |
Table II — derivative securities
No Table II lines on this filing.
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 award.
- F2Transaction pursuant to 10b5-1 plan dated 5/31/16 1st AMEND 5-30-17.
- F3The 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 $58.25 to $58.85. 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.