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Filing Details

Accession Number:: 0001209191-20-047826
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-08-20 19:50:36
Reporting Period:: 2020-08-18

Accepted Time:: 2020-08-20 19:50:36
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 Holdings Inc. 1001 Ridder Park Drive San Jose CA 95131	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2020-08-18	2,676	$87.19	121,077	No	4	F	Direct
Common Stock	Disposition	2020-08-18	519	$87.33	120,558	No	4	S	Direct
Common Stock	Disposition	2020-08-18	4,010	$88.35	116,548	No	4	S	Direct
Common Stock	Disposition	2020-08-18	1,401	$89.03	115,147	No	4	S	Direct
Common Stock	Disposition	2020-08-18	1,495	$90.22	113,652	No	4	S	Direct
Common Stock	Acquisiton	2020-08-19	42,492	$0.00	156,144	No	4	A	Direct
Common Stock	Acquisiton	2020-08-19	49,390	$0.00	205,534	No	4	A	Direct
Common Stock	Disposition	2020-08-20	2,119	$85.67	203,415	No	4	S	Direct
Common Stock	Disposition	2020-08-20	600	$86.14	202,815	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	A	Direct
No	4	A	Direct
No	4	S	Direct
No	4	S	Direct

Footnotes

Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs.
These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
These sales were executed in multiple trades at prices ranging from $86.75 to $87.67. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
These sales were executed in multiple trades at prices ranging from $87.76 to $88.75. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
These sales were executed in multiple trades at prices ranging from $88.76 to $89.49. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
These sales were executed in multiple trades at prices ranging from $90.13 to $90.31. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
Represents the acquisition of performance stock units ("PSUs") upon the determination of the Board of Directors of the Issuer that the performance conditions were met with respect to PSUs granted to the Reporting Person on August 22, 2019. The PSUs vest as to 1/3 of the shares on August 22, 2020, and the remaining shares shall vest in eight equal quarterly installments thereafter on the 15th of November, February, May and August, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan.
These securities are restricted stock units (RSUs"). Each RSU represents a contingent right to receive, following vesting, one share of the Issuer's Common Stock. The RSUs vest as to 1/3 of the shares on August 19, 2021, and the remaining shares shall vest in eight equal quarterly installments thereafter on the 15th of November, February, May and August, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan.
These sales were executed in multiple trades at prices ranging from $85.055 to $86.04. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
These sales were executed in multiple trades at prices ranging from $86.06 to $86.25. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.