SEC Form 4/A · accession 0001633978-18-000097
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Alan S Lowe
Officer — CEO and President · Director
Period of report
Aug 17, 2018
Accepted (ET)
Aug 24, 2018 · 8:42 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 | Aug 20, 2018 | F | 5,863 | $59.69 | D | 182,125 | D | |
| Common StockF3 | Aug 20, 2018 | F | 19,660 | $59.69 | D | 162,465 | D |
Table II — derivative securities
No Table II lines on this filing.
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.
- F2On 9/16/2016 4/A filed to report the grant award on (Table I) the vested shares released on 8/17/2018 were also reported on table I in error; filing to show decrease of shares that had previously been reported in Table 1.
- F3Includes 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.