Filing Details
- Accession Number:
- 0001633978-16-000081
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-24 19:39:37
- Reporting Period:
- 2016-08-22
- Filing Date:
- 2016-08-24
- Accepted Time:
- 2016-08-24 19:39:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1633978 | Lumentum Holdings Inc. | LITE | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1234673 | S Alan Lowe | C/O Lumentum 400 North Mccarthy Blvd Milpitas CA 95035 | Ceo And President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-08-22 | 2,743 | $0.00 | 38,880 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-22 | 1,431 | $34.60 | 37,449 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2016-08-22 | 2,286 | $0.00 | 39,735 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-22 | 1,192 | $34.60 | 38,543 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2016-08-22 | 10,008 | $10.76 | 48,551 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-22 | 10,008 | $34.00 | 38,543 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-22 | 20,016 | $10.76 | 58,559 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-22 | 20,016 | $34.00 | 38,543 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-22 | 39,577 | $18.82 | 78,120 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-22 | 39,577 | $34.06 | 38,543 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-22 | 19,788 | $18.82 | 58,331 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-22 | 19,788 | $34.06 | 38,543 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-22 | 37,611 | $34.05 | 932 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-22 | 23,611 | $34.01 | 47,221 | No | 4 | S | Indirect | Family Trust |
| Common Stock | Disposition | 2016-08-22 | 23,611 | $34.02 | 23,610 | No | 4 | S | Indirect | Family Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | Family Trust |
| No | 4 | S | Indirect | Family Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2016-08-22 | 2,743 | $0.00 | 2,743 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-08-22 | 2,286 | $0.00 | 2,286 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2016-08-22 | 10,008 | $10.76 | 10,008 | $10.76 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2016-08-22 | 20,016 | $10.76 | 20,016 | $10.76 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2016-08-22 | 39,577 | $18.82 | 39,577 | $18.82 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2016-08-22 | 19,788 | $18.82 | 19,788 | $18.82 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-08-20 | No | 4 | M | Direct | |
| 9,142 | 2016-08-20 | No | 4 | M | Direct | |
| 0 | 2015-08-01 | 2017-08-15 | No | 4 | M | Direct |
| 0 | 2015-08-01 | 2017-08-15 | No | 4 | M | Direct |
| 0 | 2015-08-01 | 2018-08-15 | No | 4 | M | Direct |
| 0 | 2015-08-01 | 2018-08-15 | No | 4 | M | Direct |
Footnotes
- Each unit converts upon vesting into one share of common stock.
- These 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 unit award. The amount retained by the Company was not in excess of the amount of the tax liability.
- Sale of shares pursuant to 10b5-1 plan dated 5/31/16.
- The 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 $33.53 to $34.65. 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.
- The 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 $33.82 to $34.65. 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.
- Sale of shares pursuant to Family Trust 10b5-1 plan dated 5/31/2016.
- The 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 $33.54 to $34.65. 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.
- Restricted Stock Units have no expiration date.
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