SEC Form 4 · accession 0001633978-17-000159
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Penny Herscher
Director
Period of report
Dec 8, 2017
Accepted (ET)
Dec 11, 2017 · 6:43 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 | Dec 8, 2017 | M | 2,055 | $0.00 | A | 34,793 | D | |
| Common StockF2 | Dec 8, 2017 | S | 600 | $50.98 | D | 34,193 | D | |
| Common StockF3 | Dec 8, 2017 | S | 222 | $49.61 | D | 33,971 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF4 | $0.00 | Dec 8, 2017 | A | 2,055 | A | Dec 8, 2017 | — | Common Stock | 2,055 | 0 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- 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 $50.50 to $51.30. 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.
- 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 $49.20 to $49.95. 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.
- F4Restricted Stock Units have no expiration date.