0001633978-16-000081.txt : 20160824
0001633978-16-000081.hdr.sgml : 20160824
20160824193937
ACCESSION NUMBER: 0001633978-16-000081
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160822
FILED AS OF DATE: 20160824
DATE AS OF CHANGE: 20160824
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Lumentum Holdings Inc.
CENTRAL INDEX KEY: 0001633978
STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669]
IRS NUMBER: 473108385
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 400 NORTH MCCARTHY BOULEVARD
CITY: MILPITAS
STATE: CA
ZIP: 95035
BUSINESS PHONE: 408-546-5483
MAIL ADDRESS:
STREET 1: 400 NORTH MCCARTHY BOULEVARD
CITY: MILPITAS
STATE: CA
ZIP: 95035
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LOWE ALAN S
CENTRAL INDEX KEY: 0001234673
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36861
FILM NUMBER: 161850244
MAIL ADDRESS:
STREET 1: 46897 BAYSIDE PARKWAY
CITY: FREMONT
STATE: CA
ZIP: 94538
4
1
wf-form4_147208196418047.xml
FORM 4
X0306
4
2016-08-22
0
0001633978
Lumentum Holdings Inc.
LITE
0001234673
LOWE ALAN S
C/O LUMENTUM
400 NORTH MCCARTHY BLVD
MILPITAS
CA
95035
0
1
0
0
CEO and President
Common Stock
2016-08-22
4
M
0
2743
0
A
38880
D
Common Stock
2016-08-22
4
F
0
1431
34.60
D
37449
D
Common Stock
2016-08-22
4
M
0
2286
0
A
39735
D
Common Stock
2016-08-22
4
F
0
1192
34.60
D
38543
D
Common Stock
2016-08-22
4
M
0
10008
10.76
A
48551
D
Common Stock
2016-08-22
4
S
0
10008
33.9958
D
38543
D
Common Stock
2016-08-22
4
M
0
20016
10.76
A
58559
D
Common Stock
2016-08-22
4
S
0
20016
33.9958
D
38543
D
Common Stock
2016-08-22
4
M
0
39577
18.82
A
78120
D
Common Stock
2016-08-22
4
S
0
39577
34.0571
D
38543
D
Common Stock
2016-08-22
4
M
0
19788
18.82
A
58331
D
Common Stock
2016-08-22
4
S
0
19788
34.0571
D
38543
D
Common Stock
2016-08-22
4
S
0
37611
34.0545
D
932
D
Common Stock
2016-08-22
4
S
0
23611
34.0142
D
47221
I
Family Trust
Common Stock
2016-08-22
4
S
0
23611
34.015
D
23610
I
Family Trust
Restricted Stock Units
0.0
2016-08-22
4
M
0
2743
0
D
2016-08-20
Common Stock
2743.0
0
D
Restricted Stock Units
0.0
2016-08-22
4
M
0
2286
0
D
2016-08-20
Common Stock
2286.0
9142
D
Employee Stock Option (Right to Buy)
10.76
2016-08-22
4
M
0
10008
10.76
D
2015-08-01
2017-08-15
Common Stock
10008.0
0
D
Employee Stock Option (Right to Buy)
10.76
2016-08-22
4
M
0
20016
10.76
D
2015-08-01
2017-08-15
Common Stock
20016.0
0
D
Employee Stock Option (Right to Buy)
18.82
2016-08-22
4
M
0
39577
18.82
D
2015-08-01
2018-08-15
Common Stock
39577.0
0
D
Employee Stock Option (Right to Buy)
18.82
2016-08-22
4
M
0
19788
18.82
D
2015-08-01
2018-08-15
Common Stock
19788.0
0
D
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.
Sale of shares pursuant to 10b5-1 plan dated 5/31/16.
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 $33.53 to $34.65. 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.
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 $33.82 to $34.65. 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.
Sale of shares pursuant to Family Trust 10b5-1 plan dated 5/31/2016.
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 $33.54 to $34.65. 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.
Restricted Stock Units have no expiration date.
/s/ Judy G Hamel as Attorney-in-Fact
2016-08-24