Filing Details
- Accession Number:
- 0001633978-16-000126
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-17 19:59:17
- Reporting Period:
- 2016-11-15
- Filing Date:
- 2016-11-17
- Accepted Time:
- 2016-11-17 19:59:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1401786 | Aaron Tachibana | C/O Lumentum 400 North Mccarthy Blvd Milpitas CA 95035 | Cfo | 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 | 2016-11-15 | 5,459 | $0.00 | 47,548 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-15 | 2,150 | $38.80 | 45,398 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2016-11-15 | 2,475 | $0.00 | 47,873 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-15 | 1,291 | $38.80 | 47,142 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-11-16 | 3,996 | $40.00 | 43,146 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-17 | 1,184 | $40.45 | 41,962 | 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 | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2016-11-15 | 5,459 | $0.00 | 5,459 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-15 | 2,475 | $0.00 | 2,475 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,459 | 2016-11-15 | No | 4 | M | Direct | |
| 17,318 | 2016-11-15 | 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.
- Includes 560 shares purchased on November 15, 2016 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- Sale of shares pursuant to 10b5-1 plan dated 8/26/2016.
- Restricted Stock Units have no expiration date.
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