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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 | 05/15/2018 | M | 12,783 | 05/15/2018 | (9) | Common Stock | 12,783 | $ 0 | 12,783 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LOWE ALAN S C/O LUMENTUM 400 NORTH MCCARTHY BLVD MILPITAS, CA 95035 |
X | CEO and President |
/s/ Judy G Hamel as Attorney-in-Fact | 05/17/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each unit converts upon vesting into one share of common stock. |
(2) | On May 15, 2018, the reporting person made a charitable gift of 1,000 shares. |
(3) | Bona Fide Gift. No compensation was given to the donor for the gifting of shares. |
(4) | Includes 382 shares purchased on May 15, 2018 pursuant to the company's Employee Stock Purchase Plan (ESPP). |
(5) | 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 units. |
(6) | 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 soldat each separate price. |
(7) | Transaction pursuant to 10b5-1 plan dated 5/31/16 1st AMEND 5-30-2017 |
(8) | 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 $63.05 to $63.675. 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 ofsharessold at each separate price. |
(9) | Restricted Stock Units have no expiration date. |