SEC Form 4 · accession 0001633978-18-000019
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent Retort
Officer — EVP and COO
Period of report
Feb 15, 2018
Accepted (ET)
Feb 21, 2018 · 9:39 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 | 3,299 | $0.00 | A | 92,541 | D | |
| Common StockF3 | Feb 16, 2018 | S | 1,223 | $58.5161 | D | 91,318 | D | |
| Common StockF5 | Feb 21, 2018 | S | 1,889 | $59.2596 | D | 89,429 | 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 UnitsF6 | $0.00 | Feb 15, 2018 | M | 3,299 | D | Feb 15, 2018 | — | Common Stock | 3,299 | 6,596 | D |
Explanation of responses
- F1Footnote: Each unit converts upon vesting into one share of common stock.
- 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 unit.
- 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. This transaction was apart of a group sale. 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.
- F4These 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.
- 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 $58.50 to $59.55. This transaction was apart of a group sale. The reporting person undertakestoprovide, 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.
- F6Restricted Stock Units have no expiration date.