0001633978-18-000038.txt : 20180517 0001633978-18-000038.hdr.sgml : 20180517 20180517214148 ACCESSION NUMBER: 0001633978-18-000038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180515 FILED AS OF DATE: 20180517 DATE AS OF CHANGE: 20180517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hamel Judy G CENTRAL INDEX KEY: 0001648170 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36861 FILM NUMBER: 18844951 MAIL ADDRESS: STREET 1: 400 MCCARTHY BLVD CITY: MILPITAS STATE: CA ZIP: 95035 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 4 1 wf-form4_152660765158738.xml FORM 4 X0306 4 2018-05-15 0 0001633978 Lumentum Holdings Inc. LITE 0001648170 Hamel Judy G C/O LUMENTUM 400 NORTH MCCARTHY BLVD MILPITAS CA 95035 0 1 0 0 SVP & General Counsel Common Stock 2018-05-15 4 M 0 515 0 A 27614 D Common Stock 2018-05-15 4 A 0 6627 0 A 34241 D Common Stock 2018-05-16 4 S 0 181 63.59 D 34060 D Common Stock 2018-05-17 4 S 0 360 63.21 D 33700 D Restricted Stock Units 0.0 2018-05-15 4 M 0 515 0 D 2018-05-15 Common Stock 515.0 515 D Each unit converts upon vesting into one share of common stock. Includes 326 shares purchased on May 15, 2018 pursuant to the company's Employee Stock Purchase Plan (ESPP). 1/3 of the shares shall vest annually beginning on the one (1) year anniversary of the Vesting Start Date thereafter the remaining shares vest in equal installments on the second and third anniversary thereafter, on the same day of the month as the Vesting Start Date, subject to the grant holder continuing to be an employee through each such date, or as provided under the 2015 EIP. These shares were sold 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 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 $63.00 to $64.05. This transaction was apart of a group sale. 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 ofshares 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 $62.675 to $63.675. This transaction was apart of a group sale. 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 ofshares sold at each separate price. Restricted Stock Units have no expiration date. /s/ Judy G Hamel 2018-05-17