SEC Form 4 · accession 0001567619-18-007185
VIAVI SOLUTIONS INC. · VIAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Christopher Siebert
Officer — SVP General Counsel & Sec
Period of report
Nov 28, 2018
Accepted (ET)
Nov 30, 2018 · 5:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000912093
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 28, 2018 | M | 1,842 | $0.00 | A | 26,307 | D | |
| Common Stock | Nov 28, 2018 | F | 555 | $9.91 | D | 25,752 | D | |
| Common Stock | Nov 30, 2018 | S | 901 | $10.00 | D | 24,851 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF4 | $0.00 | Nov 28, 2018 | M | 1,842 | A | Nov 28, 2018 | — | Common Stock | 1,842 | 12,898 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.
- F2These shares were retained 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 award. The amount retained by the Company was not in excess of the amount of the tax liability.
- F3Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan.
- F4There are no expiration dates on RSUs.