SEC Form 4 · accession 0001633978-18-000034
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Tachibana
Officer — CFO
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 9:33 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 | 2,474 | $0.00 | A | 71,267 | D | |
| Common StockF4 | May 16, 2018 | S | 867 | $63.59 | D | 70,400 | D | |
| Common StockF5 | May 17, 2018 | S | 830 | $63.21 | D | 69,570 | 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 | 2,474 | D | May 15, 2018 | — | Common Stock | 2,474 | 2,474 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Includes 263 shares purchased on May 15, 2018 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F3These 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 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 ofa 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 thenumber of shares sold at each separate price.
- F6Restricted Stock Units have no expiration date.