SEC Form 4 · accession 0001633978-18-000032
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
May 15, 2018
Accepted (ET)
May 17, 2018 · 9:28 pm EDT
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 StockF2 | May 15, 2018 | M | 3,298 | $0.00 | A | 80,853 | D | |
| Common StockF4 | May 16, 2018 | S | 1,156 | $63.59 | D | 79,697 | D | |
| Common StockF5 | May 17, 2018 | S | 2,663 | $63.21 | D | 77,034 | 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 | May 15, 2018 | M | 3,298 | D | May 15, 2018 | — | Common Stock | 3,298 | 3,298 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Includes 237 shares purchased on May 15, 2018 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F3These 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.
- F4The 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 $63.00 to $64.05. 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.
- 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 $62.675 to $63.675. This transaction was apart of a groupsale. 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 ofshares sold at each separate price.
- F6Restricted Stock Units have no expiration date.