08/21/2025 | Press release | Distributed by Public on 08/21/2025 19:51
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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) | ||
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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 | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Sepe Matthew Joseph C/O LUMENTUM HOLDINGS INC. 1001 RIDDER PARK DRIVE SAN JOSE, CA 95131 |
CHIEF ACCOUNTING OFFICER | |||
| /s/ Jae Kim as Attorney-in-Fact | 08/21/2025 | |
| **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) | 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. 100% of the shares shall vest on the one-year anniversary of the grant date, subject to the Reporting Person continuing to be an employee through such date, or as provided under the Issuer's 2015 Equity Incentive Plan. |
| (2) | Represents the acquisition of shares upon the determination of the Compensation Committee 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 21, 2024. |
| (3) | 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. |