Penny Herscher - Nov 19, 2021 Form 4 Insider Report for Lumentum Holdings Inc. (LITE)

Role
Director
Signature
/s/ Judy G Hamel as Attorney-in-Fact
Stock symbol
LITE
Transactions as of
Nov 19, 2021
Transactions value $
-$96,532
Form type
4
Date filed
11/22/2021, 04:03 PM
Previous filing
Nov 9, 2021
Next filing
Sep 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LITE Common Stock Gift $0 -2.67K -100% $0.00* 0 Nov 18, 2021 Direct F1
transaction LITE Common Stock Gift $0 +2.67K +7.58% $0.00 37.8K Nov 18, 2021 Living Trust F2
transaction LITE Common Stock Award $0 +2.62K $0.00 2.62K Nov 19, 2021 Direct F3
transaction LITE Common Stock Sale -$96.5K -1.07K -2.82% $90.56 36.8K Nov 19, 2021 Living Trust F2, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported transactions involved a gift of securities by the reporting person to the Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust, a living trust for which the reporting person's spouse is the trustee.
F2 These securities are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.
F3 Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of November 19, 2022 or the day prior to the the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan.
F4 These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
F5 The sale price represents the weighted average sale price. The Company can provide the full information regarding the number of shares sold at each separate price upon further request.