Filing Details

Accession Number:
0001633978-16-000100
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-28 18:49:35
Reporting Period:
2016-09-25
Filing Date:
2016-09-28
Accepted Time:
2016-09-28 18:49:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1633978 Lumentum Holdings Inc. LITE Communications Equipment, Nec (3669) 473108385
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1648256 Vincent Retort C/O Lumentum
400 North Mccarthy Blvd
Milpitas CA 95035
Evp And Coo 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 2016-09-25 4,549 $0.00 69,170 No 4 M Direct
Common Stock Disposition 2016-09-25 2,373 $40.97 66,797 No 4 F Direct
Common Stock Acquisiton 2016-09-25 5,158 $0.00 71,955 No 4 M Direct
Common Stock Disposition 2016-09-25 2,691 $40.97 69,264 No 4 F Direct
Common Stock Disposition 2016-09-28 4,643 $41.84 64,621 No 4 S Direct
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 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Performance Stock Units Disposition 2016-09-25 4,549 $0.00 4,549 $0.00
Common Stock Performance Stock Units Disposition 2016-09-25 5,158 $0.00 5,158 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-09-25 No 4 M Direct
5,158 2016-09-25 No 4 M Direct
Footnotes
  1. Each unit converts upon vesting into one share of common stock.
  2. 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.
  3. Sale of shares pursuant to 10b5-1 plan dated 11/27/2015.
  4. 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 $41.62 to $42.00. 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.
  5. Restricted Stock Units have no expiration date.