0001633978-16-000136.txt : 20161122 0001633978-16-000136.hdr.sgml : 20161122 20161122191734 ACCESSION NUMBER: 0001633978-16-000136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161120 FILED AS OF DATE: 20161122 DATE AS OF CHANGE: 20161122 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: 162014544 MAIL ADDRESS: STREET 1: 46897 BAYSIDE PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 4 1 wf-form4_147986024177042.xml FORM 4 X0306 4 2016-11-20 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 2016-11-20 4 M 0 2285 0 A 148162 D Common Stock 2016-11-20 4 F 0 1192 42.20 D 146970 D Common Stock 2016-11-22 4 S 0 1093 40.50 D 145877 D Restricted Stock Units 0.0 2016-11-20 4 M 0 2285 0 D 2016-11-20 Common Stock 2285.0 6857 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 5/31/2016. Restricted Stock Units have no expiration date. /s/ Judy G Hamel as Attorney-in-Fact 2016-11-22