SEC Form 4 · accession 0001633978-18-000038
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judy G Hamel
Officer — SVP & General Counsel
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 9:41 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 | 515 | $0.00 | A | 27,614 | D | |
| Common Stock | May 15, 2018 | A | 6,627 | $0.00 | A | 34,241 | D | |
| Common StockF5 | May 16, 2018 | S | 181 | $63.59 | D | 34,060 | D | |
| Common StockF6 | May 17, 2018 | S | 360 | $63.21 | D | 33,700 | 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 UnitsF7 | $0.00 | May 15, 2018 | M | 515 | D | May 15, 2018 | — | Common Stock | 515 | 515 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2Includes 326 shares purchased on May 15, 2018 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F31/3 of the shares shall vest annually beginning on the one (1) year anniversary of the Vesting Start Date thereafter the remaining shares vest in equal installments on the second and third anniversary thereafter, on the same day of the month as the Vesting Start Date, subject to the grant holder continuing to be an employee through each such date, or as provided under the 2015 EIP.
- 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 unit 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 $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 ofshares sold at each separate price.
- F6The 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 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 ofshares sold at each separate price.
- F7Restricted Stock Units have no expiration date.