0001437749-15-015563.txt : 20150811 0001437749-15-015563.hdr.sgml : 20150811 20150811205226 ACCESSION NUMBER: 0001437749-15-015563 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150807 FILED AS OF DATE: 20150811 DATE AS OF CHANGE: 20150811 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: 430 NORTH MCCARTHY BOULEVARD CITY: MILPITAS STATE: CA ZIP: 95035 BUSINESS PHONE: 408-546-5000 MAIL ADDRESS: STREET 1: 430 NORTH MCCARTHY BOULEVARD CITY: MILPITAS STATE: CA ZIP: 95035 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reinhardt Jason CENTRAL INDEX KEY: 0001648196 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36861 FILM NUMBER: 151045354 MAIL ADDRESS: STREET 1: 400 N. MCCARTHY BLVD CITY: MILPITAS STATE: CA ZIP: 95035 4 1 rdgdoc.xml FORM 4 X0306 4 2015-08-07 0001633978 Lumentum Holdings Inc. LITE 0001648196 Reinhardt Jason C/O LUMENTUM 400 NORTH MCCARTHY BLVD MILPITAS CA 95035 1 SVP, Sales Performance Stock Units 0 2015-08-07 5 J 0 6823 0 A Common Stock 6823 6823 D Performance Stock Units 0 2015-08-07 5 J 0 9098 0 A Common Stock 9098 9098 D Restricted Stock Units 0 2015-08-07 5 J 0 1371 0 A Common Stock 1371 1371 D Restricted Stock Units 0 2015-08-07 5 J 0 2729 0 A Common Stock 2729 2729 D Restricted Stock Units 0 2015-08-07 5 J 0 4571 0 A Common Stock 4571 4571 D In connection with the spin-off of the Issuer from JDS Uniphase Corporation ("JDSU") on August 1, 2015 (the "Spin-Off"), each outstanding JDSU RSU award was converted into a RSU award denominated in shares of the Issuer's common stock pursuant to the terms of the employee matters agreement between JDSU and the Issuer. The number of underlying shares was adjusted in a manner intended to preserve the economic value of the original JDSU RSU award prior to the Spin-Off. Each RSU represents a contingent right to receive one share of the Issuer's underlying common stock. Performance Stock Units have no expiration date. Restricted Stock Units have no expiration date. Fifty percent (50%) of the RSUs that vest will be based on JDS Uniphase's total stockholder return ("TSR") relative to the performance of those companies in the NASDAQ Telecommunications Index (the "NASDAQ Telecom Index") measured over a sixty (60) day period ending on July 31, 2015. The vesting date will be September 15, 2015. The remaining fifty percent (50%) of the RSUs that vest will be based on the Company's performance in fiscal year 2016 relative to a revenue target set by the Compensation Committee, with the RSU holder being eligible to earn up to 150% of the target amount based on certain levels of achievement in excess of the revenue target. The vesting date will be September 15, 2016. The number of RSUs disclosed in this Form 4 reflects 150% of the target amount for the RSUs based on performance relative to a revenue target, or the maximum number of shares that will vest if the full performance criteria is met. /s/ Judy G Hamel as Attorney-in-Fact 2015-08-11