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Lumentum Holdings Inc.

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2957
SEC CIK
0001633978
Parsed reports
684

Last 12 months

Inside the activity.

0 purchase rows · 185 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025010
Dec 202500
Jan 202600
Feb 2026062
Mar 202600
Apr 202600
May 2026043
Jun 202601
Jul 202600
Aug 2026048
Sep 2026020
Oct 202601

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 15, 2017 Filed Aug 18, 2017 01:23 UTC
Lillie BrianDirector
Exercise / conversionCommon Stock 3,282 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000068 · wf-form4_150301939786624.xml · nonDerivative · entry 1

Lillie Brian · CIK 0001648231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,698

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:21 UTC Exercise / conversionRestricted Stock Units · Derivative 3,282 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000066 · wf-form4_150301927713057.xml · derivative · entry 2

THOMAS SAMUEL F · CIK 0001266362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,282

Underlying: Common Stock · 3,282 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:21 UTC Exercise / conversionCommon Stock 3,282 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000066 · wf-form4_150301927713057.xml · nonDerivative · entry 1

THOMAS SAMUEL F · CIK 0001266362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,698

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:12 UTC Exercise / conversionRestricted Stock Units · Derivative 3,282 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000060 · wf-form4_150301873320633.xml · derivative · entry 2

COVERT HAROLD L · CIK 0001229072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,282

Underlying: Common Stock · 3,282 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:12 UTC Exercise / conversionCommon Stock 3,282 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000060 · wf-form4_150301873320633.xml · nonDerivative · entry 1

COVERT HAROLD L · CIK 0001229072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,235

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:19 UTC Exercise / conversionRestricted Stock Units · Derivative 3,282 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000064 · wf-form4_150301915077713.xml · derivative · entry 3

HERSCHER PENNY · CIK 0001232019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,282

Underlying: Common Stock · 3,282 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:19 UTC Exercise / conversionCommon Stock 3,282 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000064 · wf-form4_150301915077713.xml · nonDerivative · entry 2

HERSCHER PENNY · CIK 0001232019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,746

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:19 UTC SaleCommon Stock 1,313 $53.04 $69,638.76
Disclosure

SEC source: 0001633978-17-000064 · wf-form4_150301915077713.xml · nonDerivative · entry 1

HERSCHER PENNY · CIK 0001232019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,464

F1 · kind: Shares sold under a 10B5-1 Trading Plan.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:16 UTC Exercise / conversionRestricted Stock Units · Derivative 3,282 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000062 · wf-form4_150301899326155.xml · derivative · entry 2

KAPLAN MARTIN A · CIK 0001182378 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,282

Underlying: Common Stock · 3,282 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:16 UTC Exercise / conversionCommon Stock 3,282 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000062 · wf-form4_150301899326155.xml · nonDerivative · entry 1

KAPLAN MARTIN A · CIK 0001182378 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,581

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 23, 2017 Filed May 23, 2017 22:48 UTC
Retort VincentEVP and COO
SaleCommon Stock 805 $58.15 $46,810.75
Disclosure

SEC source: 0001633978-17-000053 · wf-form4_149557970809128.xml · nonDerivative · entry 3

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,460

F2 · kind: Transaction pursuant to 10b5-1 plan dated 11/30/2016.

Read SEC document
May 23, 2017 Filed May 23, 2017 22:45 UTC
LOWE ALAN SCEO and President
SaleCommon Stock 1,085 $58.15 $63,092.75
Disclosure

SEC source: 0001633978-17-000051 · wf-form4_149557950240730.xml · nonDerivative · entry 3

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,162

F2 · kind: Sale of shares pursuant to 10b5-1 plan dated 5/31/2016.

Read SEC document
May 22, 2017 Filed May 23, 2017 22:51 UTC Tax withholdingCommon Stock 364 $53.90 $19,619.60
Disclosure

SEC source: 0001633978-17-000055 · wf-form4_149557987660361.xml · nonDerivative · entry 2

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,964

Read SEC document
May 22, 2017 Filed May 23, 2017 22:48 UTC
Retort VincentEVP and COO
Tax withholdingCommon Stock 490 $53.90 $26,411.00
Disclosure

SEC source: 0001633978-17-000053 · wf-form4_149557970809128.xml · nonDerivative · entry 2

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,265

Read SEC document
May 22, 2017 Filed May 23, 2017 22:45 UTC
LOWE ALAN SCEO and President
Tax withholdingCommon Stock 1,200 $53.90 $64,680.00
Disclosure

SEC source: 0001633978-17-000051 · wf-form4_149557950240730.xml · nonDerivative · entry 2

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,247

Read SEC document
May 22, 2017 Filed May 23, 2017 22:41 UTC
Hamel Judy GGeneral Counsel & Secretary
Tax withholdingCommon Stock 88 $53.90 $4,743.20
Disclosure

SEC source: 0001633978-17-000049 · wf-form4_149557930058813.xml · nonDerivative · entry 2

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,143

Read SEC document
May 20, 2017 Filed May 23, 2017 22:51 UTC Exercise / conversionRestricted Stock Units · Derivative 960 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000055 · wf-form4_149557987660361.xml · derivative · entry 3

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 960

Underlying: Common Stock · 960 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 20, 2017 Filed May 23, 2017 22:51 UTC Exercise / conversionCommon Stock 960 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000055 · wf-form4_149557987660361.xml · nonDerivative · entry 1

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,328

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 20, 2017 Filed May 23, 2017 22:48 UTC
Retort VincentEVP and COO
Exercise / conversionRestricted Stock Units · Derivative 1,295 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000053 · wf-form4_149557970809128.xml · derivative · entry 4

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,296

Underlying: Common Stock · 1,295 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 20, 2017 Filed May 23, 2017 22:48 UTC
Retort VincentEVP and COO
Exercise / conversionCommon Stock 1,295 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000053 · wf-form4_149557970809128.xml · nonDerivative · entry 1

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,755

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 20, 2017 Filed May 23, 2017 22:45 UTC
LOWE ALAN SCEO and President
Exercise / conversionRestricted Stock Units · Derivative 2,285 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000051 · wf-form4_149557950240730.xml · derivative · entry 4

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,286

Underlying: Common Stock · 2,285 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 20, 2017 Filed May 23, 2017 22:45 UTC
LOWE ALAN SCEO and President
Exercise / conversionCommon Stock 2,285 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000051 · wf-form4_149557950240730.xml · nonDerivative · entry 1

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,447

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 20, 2017 Filed May 23, 2017 22:41 UTC
Hamel Judy GGeneral Counsel & Secretary
Exercise / conversionRestricted Stock Units · Derivative 230 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000049 · wf-form4_149557930058813.xml · derivative · entry 3

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230

Underlying: Common Stock · 230 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 20, 2017 Filed May 23, 2017 22:41 UTC
Hamel Judy GGeneral Counsel & Secretary
Exercise / conversionCommon Stock 230 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000049 · wf-form4_149557930058813.xml · nonDerivative · entry 1

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,231

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 17, 2017 Filed May 17, 2017 23:50 UTC SaleCommon Stock 1,521 $54.40 $82,742.40
Disclosure

SEC source: 0001633978-17-000047 · wf-form4_149506500306343.xml · nonDerivative · entry 3

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,368

F3 · kind: Sale of shares pursuant to 10b5-1 plan dated 8/26/2016.

Read SEC document
May 17, 2017 Filed May 17, 2017 23:48 UTC
Retort VincentEVP and COO
SaleCommon Stock 2,029 $54.26 $110,087.25
Disclosure

SEC source: 0001633978-17-000045 · wf-form4_149506490118742.xml · nonDerivative · entry 3

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,460

F3 · kind: Sale of shares pursuant to 10b5-1 plan dated 11/30/2016.

F4 · price: 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 $54.00 to $54.95. 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 of shares sold at each separate price.

Read SEC document
May 17, 2017 Filed May 17, 2017 23:44 UTC
LOWE ALAN SCEO and President
SaleCommon Stock 5,954 $54.29 $323,230.16
Disclosure

SEC source: 0001633978-17-000041 · wf-form4_149506465602584.xml · nonDerivative · entry 3

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,162

F3 · kind: Sale of shares pursuant to 10b5-1 plan dated 5/31/2016.

F4 · price: 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 $54.00 to $55.25. 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 of shares sold at each separate price.

Read SEC document
May 17, 2017 Filed May 17, 2017 23:42 UTC
Hamel Judy GGeneral Counsel & Secretary
SaleCommon Stock 419 $54.40 $22,793.60
Disclosure

SEC source: 0001633978-17-000039 · wf-form4_149506452951998.xml · nonDerivative · entry 3

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,001

F3 · kind: Sale of shares pursuant to 10b5-1 plan dated 11/29/2016.

Read SEC document
May 16, 2017 Filed May 17, 2017 23:50 UTC Tax withholdingCommon Stock 953 $53.31 $50,804.43
Disclosure

SEC source: 0001633978-17-000047 · wf-form4_149506500306343.xml · nonDerivative · entry 2

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,889

F2 · balance_after: Includes 347 shares purchased on May 15, 2017 pursuant to the company's Employee Stock Purchase Plan (ESPP).

Read SEC document
May 16, 2017 Filed May 17, 2017 23:48 UTC
Retort VincentEVP and COO
Tax withholdingCommon Stock 1,270 $53.31 $67,703.70
Disclosure

SEC source: 0001633978-17-000045 · wf-form4_149506490118742.xml · nonDerivative · entry 2

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,489

F2 · balance_after: Includes 311 shares purchased on May 15, 2017 pursuant to the company's Employee Stock Purchase Plan (ESPP).

Read SEC document
May 16, 2017 Filed May 17, 2017 23:46 UTC
Reinhardt JasonEVP, Global Sales
Tax withholdingCommon Stock 715 $53.31 $38,116.65
Disclosure

SEC source: 0001633978-17-000043 · wf-form4_149506476934821.xml · nonDerivative · entry 2

Reinhardt Jason · CIK 0001648196 · EVP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,578

Read SEC document
May 16, 2017 Filed May 17, 2017 23:44 UTC
LOWE ALAN SCEO and President
Tax withholdingCommon Stock 6,829 $53.31 $364,053.99
Disclosure

SEC source: 0001633978-17-000041 · wf-form4_149506465602584.xml · nonDerivative · entry 2

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,116

F2 · balance_after: Includes 506 shares purchased on May 15, 2017 pursuant to the company's Employee Stock Purchase Plan (ESPP).

Read SEC document
May 16, 2017 Filed May 17, 2017 23:42 UTC
Hamel Judy GGeneral Counsel & Secretary
Tax withholdingCommon Stock 199 $53.31 $10,608.69
Disclosure

SEC source: 0001633978-17-000039 · wf-form4_149506452951998.xml · nonDerivative · entry 2

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,420

F2 · balance_after: Includes 419 shares purchased on May 15, 2017 pursuant to the company's Employee Stock Purchase Plan (ESPP).

Read SEC document
May 15, 2017 Filed May 17, 2017 23:50 UTC Exercise / conversionRestricted Stock Units · Derivative 2,474 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000047 · wf-form4_149506500306343.xml · derivative · entry 4

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,370

Underlying: Common Stock · 2,474 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:50 UTC Exercise / conversionCommon Stock 2,474 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000047 · wf-form4_149506500306343.xml · nonDerivative · entry 1

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,495

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:48 UTC
Retort VincentEVP and COO
Exercise / conversionRestricted Stock Units · Derivative 3,299 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000045 · wf-form4_149506490118742.xml · derivative · entry 4

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,493

Underlying: Common Stock · 3,299 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:48 UTC
Retort VincentEVP and COO
Exercise / conversionCommon Stock 3,299 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000045 · wf-form4_149506490118742.xml · nonDerivative · entry 1

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,448

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:46 UTC
Reinhardt JasonEVP, Global Sales
Exercise / conversionRestricted Stock Units · Derivative 1,856 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000043 · wf-form4_149506476934821.xml · derivative · entry 3

Reinhardt Jason · CIK 0001648196 · EVP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,276

Underlying: Common Stock · 1,856 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:46 UTC
Reinhardt JasonEVP, Global Sales
Exercise / conversionCommon Stock 1,856 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000043 · wf-form4_149506476934821.xml · nonDerivative · entry 1

Reinhardt Jason · CIK 0001648196 · EVP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,293

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:44 UTC
LOWE ALAN SCEO and President
Exercise / conversionRestricted Stock Units · Derivative 12,783 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000041 · wf-form4_149506465602584.xml · derivative · entry 4

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,915

Underlying: Common Stock · 12,783 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:44 UTC
LOWE ALAN SCEO and President
Exercise / conversionCommon Stock 12,783 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000041 · wf-form4_149506465602584.xml · nonDerivative · entry 1

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,439

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:42 UTC
Hamel Judy GGeneral Counsel & Secretary
Exercise / conversionRestricted Stock Units · Derivative 516 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000039 · wf-form4_149506452951998.xml · derivative · entry 4

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,575

Underlying: Common Stock · 516 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.expiration_date: Restricted Stock Units have no expiration date.

Read SEC document
May 15, 2017 Filed May 17, 2017 23:42 UTC
Hamel Judy GGeneral Counsel & Secretary
Exercise / conversionCommon Stock 516 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000039 · wf-form4_149506452951998.xml · nonDerivative · entry 1

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,200

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

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February 22, 2017 Filed Feb 23, 2017 01:05 UTC
Retort VincentEVP and COO
SaleCommon Stock 809 $52.10 $42,148.90
Disclosure

SEC source: 0001633978-17-000033 · wf-form4_148781193401144.xml · nonDerivative · entry 3

Retort Vincent · CIK 0001648256 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,149

F3 · kind: Sale of shares pursuant to 10b5-1 plan dated 11/30/2016.

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February 22, 2017 Filed Feb 23, 2017 01:01 UTC
LOWE ALAN SCEO and President
SaleCommon Stock 1,094 $52.10 $56,997.40
Disclosure

SEC source: 0001633978-17-000031 · wf-form4_148781168925646.xml · nonDerivative · entry 3

LOWE ALAN S · CIK 0001234673 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,656

F3 · kind: Sale of shares pursuant to 10b5-1 plan dated 5/31/2016.

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February 21, 2017 Filed Feb 22, 2017 01:24 UTC
Hamel Judy GGeneral Counsel & Secretary
SaleCommon Stock 208 $51.15 $10,639.20
Disclosure

SEC source: 0001633978-17-000027 · wf-form4_148772664756013.xml · nonDerivative · entry 3

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,684

F3 · kind: Transaction pursuant to 10b5-1 plan dated 11/29/2016.

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February 20, 2017 Filed Feb 22, 2017 01:26 UTC Exercise / conversionRestricted Stock Units · Derivative 960 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000029 · wf-form4_148772677576659.xml · derivative · entry 3

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,920

Underlying: Common Stock · 960 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.expiration_date: Restricted Stock Units have no expiration date.

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February 20, 2017 Filed Feb 22, 2017 01:26 UTC Tax withholdingCommon Stock 360 $51.10 $18,396.00
Disclosure

SEC source: 0001633978-17-000029 · wf-form4_148772677576659.xml · nonDerivative · entry 2

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,021

F2 · kind: These shares were retained 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 unit award. The amount retained by the Company was not in excess of the amount of the tax liability.

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February 20, 2017 Filed Feb 22, 2017 01:26 UTC Exercise / conversionCommon Stock 960 $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000029 · wf-form4_148772677576659.xml · nonDerivative · entry 1

Tachibana Aaron · CIK 0001401786 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,381

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Each unit converts upon vesting into one share of common stock.

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February 20, 2017 Filed Feb 22, 2017 01:24 UTC
Hamel Judy GGeneral Counsel & Secretary
Exercise / conversionRestricted Stock Units · Derivative 230 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001633978-17-000027 · wf-form4_148772664756013.xml · derivative · entry 4

Hamel Judy G · CIK 0001648170 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460

Underlying: Common Stock · 230 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Restricted Stock Units have no expiration date.

F4 · derivative.expiration_date: Restricted Stock Units have no expiration date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.