SEC Form 4 · accession 0001633978-19-000009
Lumentum Holdings Inc. · LITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wajid Ali
Officer — EVP & Chief Financial Officer
Period of report
Feb 15, 2019
Accepted (ET)
Feb 15, 2019 · 6:02 pm EST
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 StockF1 | Feb 15, 2019 | A | 110,774 | $0.00 | A | 111,774 | D | |
| Common StockF2 | Feb 15, 2019 | A | 22,154 | $0.00 | A | 133,928 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each restricted stock unit (RSU) represents the contingent right to receive, following vesting, one share of Common Stock of Lumentum Holdings. 15% of the shares shall vest on the Initial Vest Date and 25% of the shares shall vest on February 15, 2020 the remaining shares shall vest quarterly thereafter on the 15th day of the following months of May, August, November and February, following February 15, 2020 in eight (8) equal installments (rounded down for any fractional shares, with the final vesting installment to be rounded up as necessary so that 100% of the shares shall have vested as of the last vest date), subject to the grant holder continuing to be an employee through each such date, or as provided under the 2015 EIP.
- F2Each restricted stock unit (RSU) represents the contingent right to receive, following vesting, one share of Common Stock of Lumentum Holdings. 1/3 of the shares shall vest on the Initial Vest Date and the remaining shares shall vest quarterly thereafter on the 15th day of the following months of May, August, November and February following the Initial Vest Date in eight (8) equal installments (rounded down for any fractional shares, with the final vesting installment to be rounded up as necessary so that 100% of the shares shall have vested as of the last vest date), subject to the grant holder continuing to be an employee through each such date, or as provided under the 2015 EIP.