0001209191-23-047399.txt : 20230825 0001209191-23-047399.hdr.sgml : 20230825 20230825175817 ACCESSION NUMBER: 0001209191-23-047399 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230823 FILED AS OF DATE: 20230825 DATE AS OF CHANGE: 20230825 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sepe Matthew Joseph CENTRAL INDEX KEY: 0001743176 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36861 FILM NUMBER: 231209550 MAIL ADDRESS: STREET 1: 400 NORTH 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: 0701 BUSINESS ADDRESS: STREET 1: 1001 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 408-546-5483 MAIL ADDRESS: STREET 1: 1001 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-08-23 0 0001633978 Lumentum Holdings Inc. LITE 0001743176 Sepe Matthew Joseph C/O LUMENTUM HOLDINGS INC. 1001 RIDDER PARK DRIVE SAN JOSE CA 95131 0 1 0 0 Chief Accounting Officer 0 Common Stock 2023-08-23 4 A 0 13119 0.00 A 35105 D Common Stock 2023-08-23 4 A 0 9370 0.00 A 44475 D Common Stock 2023-08-24 4 A 0 800 0.00 A 45275 D Common Stock 2023-08-24 4 F 0 911 52.12 D 44364 D These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, following vesting, one share of the Issuer's Common Stock. 1/3 of the shares shall vest one year from the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter on the 15th of November, February, May and August, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan. Represents the acquisition of shares upon the determination of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units (PSUs) granted to the Reporting Person on August 24, 2022. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs and PSUs. /s/ Judy G. Hamel as Attorney-in-Fact 2023-08-25