SEC Form 4 · accession 0001633978-18-000011
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan S Lowe
Officer — CEO and President · Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 21, 2018 · 8:34 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 | Feb 15, 2018 | M | 12,783 | $0.00 | A | 238,998 | D | |
| Common StockF3 | Feb 16, 2018 | S | 4,511 | $58.5161 | D | 234,487 | D | |
| Common StockF4,F5 | Feb 20, 2018 | S | 8,272 | $58.6552 | D | 226,215 | D | |
| Common StockF7 | Feb 21, 2018 | S | 5,212 | $59.0855 | D | 221,003 | 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 UnitsF8 | $0.00 | Feb 15, 2018 | M | 12,783 | D | Feb 15, 2018 | — | Common Stock | 12,783 | 25,566 | D |
| Restricted Stock UnitsF8 | $0.00 | Feb 17, 2018 | M | 11,672 | D | Feb 17, 2018 | — | Common Stock | 11,672 | 70,032 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock units.
- 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 $57.525 to $59.15. 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.
- F4Transaction pursuant to 10b5-1 plan dated 5/31/16 1st AMEND 5-30-2017
- F5The 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 $58.35 to $59.025. 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.
- F6These shares were sold by the Company 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.
- F7The price is the weighted average sale price for the transactions reported on this line. The price range for the transactions reported on this line is 4912 shares at $58.50 to $58.45 and 300 shares at $59.50-$59.55 totaling 5,212 shares. 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.
- F8Restricted Stock Units have no expiration date.