SEC Form 4 · accession 0001633978-18-000040
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
May 15, 2018
Accepted (ET)
May 17, 2018 · 9:47 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 Stock | May 15, 2018 | M | 12,783 | $0.00 | A | 227,326 | D | |
| Common StockF3,F4 | May 15, 2018 | G | 1,000 | $0.00 | D | 226,708 | D | |
| Common StockF6 | May 16, 2018 | S | 6,421 | $63.59 | D | 220,287 | D | |
| Common StockF7,F8 | May 17, 2018 | S | 6,362 | $63.4031 | D | 213,925 | 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 UnitsF9 | $0.00 | May 15, 2018 | M | 12,783 | D | May 15, 2018 | — | Common Stock | 12,783 | 12,783 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2On May 15, 2018, the reporting person made a charitable gift of 1,000 shares.
- F3Bona Fide Gift. No compensation was given to the donor for the gifting of shares.
- F4Includes 382 shares purchased on May 15, 2018 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F5These 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.
- 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 $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 soldat each separate price.
- F7Transaction pursuant to 10b5-1 plan dated 5/31/16 1st AMEND 5-30-2017
- F8The 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 $63.05 to $63.675. 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 ofsharessold at each separate price.
- F9Restricted Stock Units have no expiration date.