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