SEC Form 4 · accession 0001633978-18-000089
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Alan S Lowe
Officer — CEO and President · Director
Period of report
Aug 17, 2018
Accepted (ET)
Aug 21, 2018 · 9:54 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 17, 2018 | M | 11,672 | $0.00 | A | 224,881 | D | |
| Common Stock | Aug 20, 2018 | F | 5,863 | $59.69 | D | 219,018 | D | |
| Common StockF2 | Aug 20, 2018 | F | 19,660 | $59.69 | D | 220,130 | 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 17, 2018 | M | 11,672 | D | Aug 17, 2018 | — | Common Stock | 11,672 | 0 | D |
Explanation of responses
- F1These 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 awards.
- F2Includes additional Performance shares earned based upon achievement of established target goals for Fiscal Year 2018, with one third vesting on the first anniversary of the grant date, and the remaining vesting quarterly over eight quarters.
- F3Restricted Stock Units have no expiration date.