Filing Details
- Accession Number:
- 0001633978-18-000038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-17 21:41:48
- Reporting Period:
- 2018-05-15
- Accepted Time:
- 2018-05-17 21:41:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1648170 | G Judy Hamel | C/O Lumentum 400 North Mccarthy Blvd Milpitas CA 95035 | Svp & General Counsel | 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 | 2018-05-15 | 515 | $0.00 | 27,614 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-05-15 | 6,627 | $0.00 | 34,241 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2018-05-16 | 181 | $63.59 | 34,060 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-17 | 360 | $63.21 | 33,700 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | A | 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 | 2018-05-15 | 515 | $0.00 | 515 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 515 | 2018-05-15 | No | 4 | M | Direct |
Footnotes
- Each unit converts upon vesting into one share of common stock.
- Includes 326 shares purchased on May 15, 2018 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- 1/3 of the shares shall vest annually beginning on the one (1) year anniversary of the Vesting Start Date thereafter the remaining shares vest in equal installments on the second and third anniversary thereafter, on the same day of the month as the Vesting Start Date, subject to the grant holder continuing to be an employee through each such date, or as provided under the 2015 EIP.
- These shares were sold 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 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 $63.00 to $64.05. This transaction was apart of a group sale. 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 ofshares 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 $62.675 to $63.675. This transaction was apart of a group sale. 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 ofshares sold at each separate price.
- Restricted Stock Units have no expiration date.
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