SEC Form 4 · accession 0001633978-18-000074
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Penny Herscher
Director
Period of report
Aug 15, 2018
Accepted (ET)
Aug 16, 2018 · 8:41 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 Stock | Aug 15, 2018 | M | 3,282 | $0.00 | A | 37,253 | D | |
| Common StockF2 | Aug 15, 2018 | S | 1,213 | $58.782 | D | 36,040 | D | |
| Common Stock | Aug 15, 2018 | S | 100 | $59.70 | D | 35,940 | 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 UnitsF3 | $0.00 | Aug 15, 2018 | M | 3,282 | D | Aug 15, 2018 | — | Common Stock | 3,282 | 0 | D |
Explanation of responses
- F1Shares sold under a 10B5-1 Trading Plan.
- F2The 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 $59.00. 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.
- F3Restricted Stock Units have no expiration date.