Filing Details
- Accession Number:
- 0001633978-18-000095
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2018-08-24 20:39:17
- Reporting Period:
- 2017-08-17
- Accepted Time:
- 2018-08-24 20:39:17
- Original Submission Date:
- 2017-08-21
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1633978 | Lumentum Holdings Inc. | LITE | () | 4/A |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1234673 | S Alan Lowe | 400 North Mccarthy Blvd Milpitas CA 95035 | Ceo And President | Yes | 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 | Disposition | 2017-08-17 | 7,916 | $52.62 | 141,162 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-08-18 | 23,384 | $52.06 | 117,778 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2017-08-17 | 9,232 | $0.00 | 127,010 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-18 | 4,817 | $51.35 | 122,193 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2017-08-18 | 64,432 | $0.00 | 186,625 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2017-08-18 | 32,216 | $0.00 | 218,841 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2017-08-20 | 2,286 | $0.00 | 221,127 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-21 | 1,215 | $51.10 | 219,912 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Stock Units | Acquisiton | 2017-08-17 | 9,232 | $0.00 | 9,232 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-08-20 | 2,286 | $0.00 | 2,286 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,232 | 2017-08-17 | No | 4 | M | Direct | |
| 0 | 2017-08-17 | No | 4 | M | Direct |
Footnotes
- Performance shares that vested upon achievement of established target goals.
- New RSU grant award vests 33% on 1st anniversary of grant date then 8 quarterly equal installments over following 2 years.
- On 9/16/2016 4/A filed to report the grant award on (Table I) the vested shares released on 8/17/2017 were also reported on table I in error; filing to show decrease of shares that had previously been reported in Table 1.
- Performance Stock Units have no expiration date.
- Restricted Stock Units have no expiration date
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