person · Reporting owner

HERSCHER PENNY

Disclosed activity across 6 companies

Tapewire entity: 30079
SEC CIK: 0001232019

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Lumentum Holdings Inc.LITE · Entity 2957	Director	July 15, 2026	July 17, 2026
PROS Holdings, Inc.PRO · Entity 71777	Director	April 29, 2021	May 03, 2021
Penguin Solutions, Inc.PENG · Entity 4377	Director	February 06, 2026	February 11, 2026
RAMBUS INCRMBS · Entity 3575	Director	October 02, 2017	October 04, 2017
VERINT SYSTEMS INCVRNT · Entity 72443	Director	April 20, 2021	April 22, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Lumentum Holdings Inc.

Report date July 15, 2026 · Filed July 17, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,165	Reported balance After 2026-07-15 transaction · row 1 1 source row Row 1 · 2026-07-15 · Grant · Acquired 108 · Balance 2,165 F1: 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 July 15, 2027, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2025 Equity Incentive Plan. The RSUs were granted to the Reporting Person in lieu of the annual cash retainer, at the election of the Reporting Person, under the Issuer's compensation program for non-employee directors.
Common StockSEC Table I · non-derivative	IndirectLiving Trust	39,378	Reported balance Holding disclosure · report date 2026-07-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 39,378 F2: These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.

Filing footnotes · ownership attribution and instrument terms

F1: 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 July 15, 2027, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2025 Equity Incentive Plan. The RSUs were granted to the Reporting Person in lieu of the annual cash retainer, at the election of the Reporting Person, under the Issuer's compensation program for non-employee directors.

F2: These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.

PROS Holdings, Inc.

Report date April 29, 2021 · Filed May 03, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	12,465	Ending reported balance After 2021-04-29 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2021-04-29 · Exercise / conversion · Acquired 4,811 · Balance 14,389 F1: Represents the closing price of Issuer's common stock on April 29, 2021. Row 2 · 2021-04-29 · Sale · Disposed 1,924 · Balance 12,465 F2: The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 5, 2021 and were accomplished solely to cover the taxes for the vesting noted in footnote 5 below. F3: Represents the average price for 30 total transactions in a range from $44.03 to $46.29.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2021-04-29 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2021-04-29 · Exercise / conversion · Disposed 4,811 · Balance 0 F4: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F5: This award was granted on April 29, 2020 and vested on April 29, 2021; the conditions of vesting being the earlier of such date or the date of Issuer's 2021 annual shareholder meeting.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the closing price of Issuer's common stock on April 29, 2021.

F2: The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 5, 2021 and were accomplished solely to cover the taxes for the vesting noted in footnote 5 below.

F3: Represents the average price for 30 total transactions in a range from $44.03 to $46.29.

F4: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock.

F5: This award was granted on April 29, 2020 and vested on April 29, 2021; the conditions of vesting being the earlier of such date or the date of Issuer's 2021 annual shareholder meeting.

Penguin Solutions, Inc.

Report date February 06, 2026 · Filed February 11, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	27,574	Reported balance After 2026-02-06 transaction · row 1 1 source row Row 1 · 2026-02-06 · Grant · Acquired 10,034 · Balance 27,574 F1: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 6, 2027 or the date of the annual meeting of stockholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date.
Common StockSEC Table I · non-derivative	IndirectBy Family Trust	4,584	Reported balance Holding disclosure · report date 2026-02-06 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 4,584 F2: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the reporting person and her spouse serve as co-trustees.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 6, 2027 or the date of the annual meeting of stockholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date.

F2: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the reporting person and her spouse serve as co-trustees.

RAMBUS INC

Report date October 02, 2017 · Filed October 04, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	26,145	Reported balance After 2017-10-02 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2017-10-02 · Sale · Disposed 6,437 · Balance 26,145 F1: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 30, 2015. F2: The sale price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $13.33 to $13.50. Upon request by the Commission Staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. F3: Shares held directly by the 2001 Herscher Family Trust for which the Reporting Person serves as a trustee.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	39,019	Reported balance Holding disclosure · report date 2017-10-02 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 39,019 F6: Includes remaining 12,874 restricted stock units vested and issued on October 3, 2017. F3: Shares held directly by the 2001 Herscher Family Trust for which the Reporting Person serves as a trustee.
Common StockSEC Table I · non-derivative	Direct	24,666	Reported balance After 2017-10-02 transaction · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · 2017-10-02 · Grant · Acquired 11,792 · Balance 24,666 F4: Shares are represented by restricted stock units. Each restricted stock unit represents a contingent right to receive one share of RMBS common stock. F5: All of the restricted stock units will vest on October 2, 2018 or the first business trading day thereafter.
Common StockSEC Table I · non-derivative	Direct	11,792	Reported balance Holding disclosure · report date 2017-10-02 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 11,792

Filing footnotes · ownership attribution and instrument terms

F1: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 30, 2015.

F2: The sale price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $13.33 to $13.50. Upon request by the Commission Staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3: Shares held directly by the 2001 Herscher Family Trust for which the Reporting Person serves as a trustee.

F4: Shares are represented by restricted stock units. Each restricted stock unit represents a contingent right to receive one share of RMBS common stock.

F5: All of the restricted stock units will vest on October 2, 2018 or the first business trading day thereafter.

F6: Includes remaining 12,874 restricted stock units vested and issued on October 3, 2017.

VERINT SYSTEMS INC

Report date April 20, 2021 · Filed April 22, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	19,172	Reported balance After 2021-04-20 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2021-04-20 · Grant · Acquired 4,178 · Balance 19,172 F1: Grant of restricted stock units vesting 100% on April 11, 2022. F2: The number of shares underlying unvested RSUs that were previously reported on Form 4 has been adjusted in connection with the closing of the spin-off of Cognyte Software Ltd. by the Issuer on February 1, 2021 and included in the total in Column 5.

Filing footnotes · ownership attribution and instrument terms

F1: Grant of restricted stock units vesting 100% on April 11, 2022.

F2: The number of shares underlying unvested RSUs that were previously reported on Form 4 has been adjusted in connection with the closing of the spin-off of Cognyte Software Ltd. by the Issuer on February 1, 2021 and included in the total in Column 5.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Embark Technology, Inc.

Report date August 02, 2023 · Filed August 04, 2023

Section 16 reporting ended · disclosed 2023-08-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2023-08-02 transaction · row 1 1 source row Row 1 · 2023-08-02 · Disposition to issuer · Disposed 26,804 · Balance 0 F1: The shares are represented by previously reported RSUs. Pursuant to the Issuer's Non-Employee Director Compensation Policy, any unvested RSUs accelerated and vested in full immediately prior to the effective time of the merger (the "Effective Time") contemplated by the Agreement and Plan of Merger, dated as of May 25, 2023 (the "Merger Agreement"), by and among the Issuer, Applied Intuition, Inc., and Azara Merger Sub, Inc. At the Effective Time, each outstanding RSU was automatically cancelled and converted into the right to receive an amount equal to $2.88 in cash, subject to the terms set forth in the Merger Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are represented by previously reported RSUs. Pursuant to the Issuer's Non-Employee Director Compensation Policy, any unvested RSUs accelerated and vested in full immediately prior to the effective time of the merger (the "Effective Time") contemplated by the Agreement and Plan of Merger, dated as of May 25, 2023 (the "Merger Agreement"), by and among the Issuer, Applied Intuition, Inc., and Azara Merger Sub, Inc. At the Effective Time, each outstanding RSU was automatically cancelled and converted into the right to receive an amount equal to $2.88 in cash, subject to the terms set forth in the Merger Agreement.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 15, 2026 Filed Jul 17, 2026 00:14 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	108	$0.00	$0.00	Disclosure SEC source: 0001232019-26-000005 · form4-07172026_120757.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,165 F1 · shares: 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 July 15, 2027, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2025 Equity Incentive Plan. The RSUs were granted to the Reporting Person in lieu of the annual cash retainer, at the election of the Reporting Person, under the Issuer's compensation program for non-employee directors. Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	159	$602.63	$95,818.17	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 8 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,057 Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	349	$601.17	$209,807.00	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 7 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,216 F7 · price: These sales were executed in multiple trades at prices ranging from $600.86 to $601.72. Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	434	$600.04	$260,417.45	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 6 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,565 F6 · price: These sales were executed in multiple trades at prices ranging from $599.66 to $600.26. Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	363	$599.01	$217,439.21	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 5 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,999 F5 · price: These sales were executed in multiple trades at prices ranging from $598.48 to $599.10. Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	427	$597.90	$255,304.88	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 4 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,362 F4 · price: These sales were executed in multiple trades at prices ranging from $597.33 to $598.27. Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	1,037	$596.28	$618,339.97	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,789 F3 · price: These sales were executed in multiple trades at prices ranging from $596.12 to $597.10. Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	419	$595.19	$249,384.86	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,826 F2 · price: These sales were executed in multiple trades at prices ranging from $594.98 to $595.71. Read SEC document
February 12, 2026 Filed Feb 13, 2026 23:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	812	$594.42	$482,668.39	Disclosure SEC source: 0001232019-26-000004 · form4-02132026_110256.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,245 F1 · price: These sales were executed in multiple trades at prices ranging from $593.89 to $594.74. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price, within the ranges set forth in footnotes (1) through (7) to this Form 4, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document
February 06, 2026 Filed Feb 10, 2026 22:24 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	4,849	$535.48	$2,596,541.55	Disclosure SEC source: 0001232019-26-000001 · form4-02102026_100212.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,057 F1 · price: These sales were executed in multiple trades at prices ranging from $525.74 to $535.81. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document
February 06, 2026 Filed Feb 11, 2026 00:05 UTC	Penguin Solutions, Inc. PENG · Entity 4377	GrantCommon Stock	10,034	$0.00	$0.00	Disclosure SEC source: 0001232019-26-000003 · wk-form4_1770768313.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,574 F1 · shares: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 6, 2027 or the date of the annual meeting of stockholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date. Read SEC document
November 19, 2025 Filed Nov 22, 2025 00:13 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	1,283	$0.00	$0.00	Disclosure SEC source: 0001232019-25-000003 · form4-11222025_121143.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,906 F1 · shares: 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, 2026 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 2025 Equity Incentive Plan. Read SEC document
July 17, 2025 Filed Jul 18, 2025 01:35 UTC	Penguin Solutions, Inc. PENG · Entity 4377	SaleCommon Stock	682	$25.00	$17,051.02	Disclosure SEC source: 0001616533-25-000030 · wk-form4_1752802497.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,540 F1 · kind: This transaction was effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on November 7, 2024. F3 · price: This transaction was executed in multiple trades at prices ranging from $25.00 to $25.01. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document
July 15, 2025 Filed Jul 18, 2025 01:35 UTC	Penguin Solutions, Inc. PENG · Entity 4377	SaleCommon Stock	2,046	$25.42	$52,013.41	Disclosure SEC source: 0001616533-25-000030 · wk-form4_1752802497.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,222 F1 · kind: This transaction was effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on November 7, 2024. F2 · price: This transaction was executed in multiple trades at prices ranging from $25.35 to $25.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document
February 07, 2025 Filed Feb 11, 2025 21:13 UTC	Penguin Solutions, Inc. PENG · Entity 4377	GrantOrdinary Shares	8,397	$0.00	$0.00	Disclosure SEC source: 0001616533-25-000009 · wk-form4_1739308408.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,268 F1 · shares: Represents a restricted share unit award that is scheduled to vest in full on the earlier of February 7, 2026 or the date of the annual general meeting of shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date. Read SEC document
November 20, 2024 Filed Nov 23, 2024 00:04 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	3,313	$0.00	$0.00	Disclosure SEC source: 0001415889-24-027582 · form4-11232024_121141.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,623 F1 · shares: 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 20, 2025 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. Read SEC document
November 19, 2024 Filed Nov 21, 2024 00:18 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	362	$82.52	$29,871.48	Disclosure SEC source: 0001415889-24-027377 · form4-11212024_121101.xml · nonDerivative · entry 5 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 6,310 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 20, 2024. F6 · price: These sales were executed in multiple trades at prices ranging from $82.295 to $82.77. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document
November 19, 2024 Filed Nov 21, 2024 00:18 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	54	$81.43	$4,397.35	Disclosure SEC source: 0001415889-24-027377 · form4-11212024_121101.xml · nonDerivative · entry 4 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 6,672 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 20, 2024. F5 · price: These sales were executed in multiple trades at prices ranging from $81.265 to $81.60. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document
November 19, 2024 Filed Nov 21, 2024 00:18 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	126	$80.26	$10,112.89	Disclosure SEC source: 0001415889-24-027377 · form4-11212024_121101.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 6,726 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 20, 2024. F4 · price: These sales were executed in multiple trades at prices ranging from $79.68 to $80.545. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document
November 18, 2024 Filed Nov 21, 2024 00:18 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	884	$81.43	$71,986.86	Disclosure SEC source: 0001415889-24-027377 · form4-11212024_121101.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 6,852 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 20, 2024. F3 · price: These sales were executed in multiple trades at prices ranging from $81.285 to $81.95. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document
November 18, 2024 Filed Nov 21, 2024 00:18 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	741	$80.69	$59,790.99	Disclosure SEC source: 0001415889-24-027377 · form4-11212024_121101.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 7,736 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 20, 2024. F2 · price: These sales were executed in multiple trades at prices ranging from $80.20 to $81.185. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document
February 13, 2024 Filed Feb 13, 2024 22:37 UTC	Penguin Solutions, Inc. SGH · Entity 4377	SaleOrdinary Shares	842	$21.62	$18,207.49	Disclosure SEC source: 0001628280-24-004552 · wk-form4_1707863854.xml · nonDerivative · entry 4 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 11,871 F3 · kind: This transaction was effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on July 24, 2023. F5 · price: This transaction was executed in multiple trades at prices ranging from $21.39 to $22.04. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document
February 12, 2024 Filed Feb 13, 2024 22:37 UTC	Penguin Solutions, Inc. SGH · Entity 4377	SaleOrdinary Shares	2,525	$22.62	$57,126.61	Disclosure SEC source: 0001628280-24-004552 · wk-form4_1707863854.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 12,713 F3 · kind: This transaction was effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on July 24, 2023. F4 · price: This transaction was executed in multiple trades at prices ranging from $22.49 to $22.77. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document
February 09, 2024 Filed Feb 13, 2024 22:37 UTC	Penguin Solutions, Inc. SGH · Entity 4377	GrantOrdinary Shares	6,821	$0.00	$0.00	Disclosure SEC source: 0001628280-24-004552 · wk-form4_1707863854.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,238 F1 · shares: Represents a restricted share unit award that is scheduled to vest in full on the earlier of February 9, 2025 or the date of the annual general meeting of shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date. Read SEC document
November 17, 2023 Filed Nov 21, 2023 23:57 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	5,416	$0.00	$0.00	Disclosure SEC source: 0001209191-23-056380 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,477 F1 · shares: 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 17, 2024 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. Read SEC document
August 02, 2023 Filed Aug 4, 2023 22:14 UTC	Embark Technology, Inc. EMBK · Entity 110807	Disposition to issuerClass A Common Stock	26,804	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-23-044672 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: The shares are represented by previously reported RSUs. Pursuant to the Issuer's Non-Employee Director Compensation Policy, any unvested RSUs accelerated and vested in full immediately prior to the effective time of the merger (the "Effective Time") contemplated by the Agreement and Plan of Merger, dated as of May 25, 2023 (the "Merger Agreement"), by and among the Issuer, Applied Intuition, Inc., and Azara Merger Sub, Inc. At the Effective Time, each outstanding RSU was automatically cancelled and converted into the right to receive an amount equal to $2.88 in cash, subject to the terms set forth in the Merger Agreement. Read SEC document
February 10, 2023 Filed Feb 15, 2023 01:20 UTC	Penguin Solutions, Inc. SGH · Entity 4377	GrantOrdinary Shares	8,417	$0.00	$0.00	Disclosure SEC source: 0001140361-23-007088 · form4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,417 F1 · shares: Represents a restricted stock unit award that is scheduled to vest in full on the earlier of February 10, 2024 or the date of the annual meeting of the shareholders at which the reporting person's term expires, subject to the reporting person's continued service through the vesting date. Read SEC document
February 02, 2023 Filed Feb 2, 2023 23:53 UTC	Penguin Solutions, Inc. SGH · Entity 4377	GiftOrdinary Shares	1,348	$0.00	$0.00	Disclosure SEC source: 0001567619-23-001732 · doc1.xml · nonDerivative · entry 5 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 4,584 F2 · ownership.direct: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the Reporting Person and her spouse serve as co-trustees. F2 · ownership.nature: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the Reporting Person and her spouse serve as co-trustees. Read SEC document
February 02, 2023 Filed Feb 2, 2023 23:53 UTC	Penguin Solutions, Inc. SGH · Entity 4377	GiftOrdinary Shares	1,348	$0.00	$0.00	Disclosure SEC source: 0001567619-23-001732 · doc1.xml · nonDerivative · entry 4 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document
January 31, 2023 Filed Feb 2, 2023 23:53 UTC	Penguin Solutions, Inc. SGH · Entity 4377	SaleOrdinary Shares	900	$16.67	$15,003.00	Disclosure SEC source: 0001567619-23-001732 · doc1.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,348 F1 · kind: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person. Read SEC document
November 16, 2022 Filed Nov 17, 2022 01:04 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	3,061	$0.00	$0.00	Disclosure SEC source: 0001633978-22-000048 · wf-form4_166864706218741.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,061 F3 · kind: 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 one year from the grant date or the day prior to 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. Read SEC document
November 15, 2022 Filed Nov 17, 2022 01:04 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GiftCommon Stock	2,618	$0.00	$0.00	Disclosure SEC source: 0001633978-22-000048 · wf-form4_166864706218741.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Living Trust Disclosed balance after: 39,378 F2 · ownership.nature: These securities are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001. Read SEC document
November 15, 2022 Filed Nov 17, 2022 01:04 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GiftCommon Stock	2,618	$0.00	$0.00	Disclosure SEC source: 0001633978-22-000048 · wf-form4_166864706218741.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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. Read SEC document
October 06, 2022 Filed Feb 2, 2023 23:53 UTC	Penguin Solutions, Inc. SGH · Entity 4377	GiftOrdinary Shares	3,236	$0.00	$0.00	Disclosure SEC source: 0001567619-23-001732 · doc1.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 3,236 F2 · ownership.direct: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the Reporting Person and her spouse serve as co-trustees. F2 · ownership.nature: Shares held by the 2001 Herscher Family Trust U/A/D 6/14/2001, for which the Reporting Person and her spouse serve as co-trustees. Read SEC document
October 06, 2022 Filed Feb 2, 2023 23:53 UTC	Penguin Solutions, Inc. SGH · Entity 4377	GiftOrdinary Shares	3,236	$0.00	$0.00	Disclosure SEC source: 0001567619-23-001732 · doc1.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,248 Read SEC document
October 03, 2022 Filed Oct 6, 2022 00:37 UTC	Penguin Solutions, Inc. SGH · Entity 4377	SaleOrdinary Shares	2,156	$16.11	$34,733.16	Disclosure SEC source: 0001567619-22-018288 · doc1.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,484 F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person. F2 · balance_after: This amount includes 2,248 shares of a restricted stock unit award scheduled to vest on January 31, 2023. F3 · balance_after: On February 1, 2022, the Issuer paid a share dividend of one (1) ordinary share for every one (1) ordinary share owned to shareholders of record as of January 25, 2022. The numbers in this Form 4 have been adjusted for the share dividend, which was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder. Read SEC document
September 07, 2022 Filed Sep 29, 2022 20:18 UTC	Embark Technology, Inc. EMBK · Entity 110807	GrantClass A Common Stock	7,446	$0.00	$0.00	Disclosure SEC source: 0001827980-22-000096 · wf-form4_166448270653607.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,804 F2 · shares: Reflects an award of RSUs, which will vest in nine substantially equal monthly installments beginning on October 7, 2022. Each RSU represents a contingent right to receive one share of Class A Common Stock. Read SEC document
September 07, 2022 Filed Sep 29, 2022 20:18 UTC	Embark Technology, Inc. EMBK · Entity 110807	GrantClass A Common Stock	19,358	$0.00	$0.00	Disclosure SEC source: 0001827980-22-000096 · wf-form4_166448270653607.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,358 F1 · shares: Reflects an award of restricted stock units ("RSUs"), which will vest in 48 substantially equal monthly installments beginning on October 7, 2022. Each RSU represents a contingent right to receive one share of Class A Common Stock. Read SEC document
November 19, 2021 Filed Nov 22, 2021 22:03 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	1,066	$90.56	$96,532.38	Disclosure SEC source: 0001633978-21-000082 · wf-form4_163761858470524.xml · nonDerivative · entry 4 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Living Trust Disclosed balance after: 36,760 F4 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F5 · price: 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. F2 · ownership.nature: These securities are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001. Read SEC document
November 19, 2021 Filed Nov 22, 2021 22:03 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	2,618	$0.00	$0.00	Disclosure SEC source: 0001633978-21-000082 · wf-form4_163761858470524.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,618 F3 · kind: 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. Read SEC document
November 18, 2021 Filed Nov 22, 2021 22:03 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GiftCommon Stock	2,666	$0.00	$0.00	Disclosure SEC source: 0001633978-21-000082 · wf-form4_163761858470524.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Living Trust Disclosed balance after: 37,826 F2 · ownership.nature: These securities are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001. Read SEC document
November 18, 2021 Filed Nov 22, 2021 22:03 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GiftCommon Stock	2,666	$0.00	$0.00	Disclosure SEC source: 0001633978-21-000082 · wf-form4_163761858470524.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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. Read SEC document
November 05, 2021 Filed Nov 9, 2021 23:12 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	6,000	$90.00	$540,000.00	Disclosure SEC source: 0001633978-21-000065 · wf-form4_163649956331310.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Living Trust Disclosed balance after: 35,160 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F2 · balance_after: Following an internal review, the number of shares beneficially owned has been adjusted to correct the total number of shares owned directly as compared to indirectly. F3 · ownership.nature: These securities are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001. Read SEC document
October 01, 2021 Filed Oct 5, 2021 13:26 UTC	Penguin Solutions, Inc. SGH · Entity 4377	GrantOrdinary Shares	3,820	$0.00	$0.00	Disclosure SEC source: 0001567619-21-017872 · doc1.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,820 F1 · shares: Represents a restricted stock unit award that is scheduled to vest as to 2,696 units on October 1, 2022 and as to the remainder of the award on January 31, 2023. Read SEC document
April 29, 2021 Filed May 3, 2021 20:43 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionRestricted Stock Units · Derivative	4,811	$0.00	$0.00	Disclosure SEC source: 0001392972-21-000048 · wf-form4_162007457519005.xml · derivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,811 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_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F5 · derivative.exercise_date: This award was granted on April 29, 2020 and vested on April 29, 2021; the conditions of vesting being the earlier of such date or the date of Issuer's 2021 annual shareholder meeting. F5 · derivative.expiration_date: This award was granted on April 29, 2020 and vested on April 29, 2021; the conditions of vesting being the earlier of such date or the date of Issuer's 2021 annual shareholder meeting. Read SEC document
April 29, 2021 Filed May 3, 2021 20:43 UTC	PROS Holdings, Inc. PRO · Entity 71777	SaleCommon Stock	1,924	$44.63	$85,868.12	Disclosure SEC source: 0001392972-21-000048 · wf-form4_162007457519005.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,465 F2 · shares: The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 5, 2021 and were accomplished solely to cover the taxes for the vesting noted in footnote 5 below. F3 · price: Represents the average price for 30 total transactions in a range from $44.03 to $46.29. Read SEC document
April 29, 2021 Filed May 3, 2021 20:43 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionCommon Stock	4,811	$44.37	$213,464.07	Disclosure SEC source: 0001392972-21-000048 · wf-form4_162007457519005.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,389 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 · price: Represents the closing price of Issuer's common stock on April 29, 2021. Read SEC document
April 20, 2021 Filed Apr 22, 2021 17:13 UTC	VERINT SYSTEMS INC VRNT · Entity 72443	GrantCommon Stock	4,178	$0.00	$0.00	Disclosure SEC source: 0001166388-21-000066 · wf-form4_161912599605574.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,172 F1 · shares: Grant of restricted stock units vesting 100% on April 11, 2022. F2 · balance_after: The number of shares underlying unvested RSUs that were previously reported on Form 4 has been adjusted in connection with the closing of the spin-off of Cognyte Software Ltd. by the Issuer on February 1, 2021 and included in the total in Column 5. Read SEC document
November 19, 2020 Filed Nov 21, 2020 01:11 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	2,666	$0.00	$0.00	Disclosure SEC source: 0001209191-20-059833 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,657 F1 · shares: 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, 2021 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. Read SEC document
November 16, 2020 Filed Nov 18, 2020 01:44 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	1,626	$82.38	$133,945.49	Disclosure SEC source: 0001209191-20-058929 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,991 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F2 · price: These sales were executed in multiple trades at prices ranging from $82.26 to $82.59. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document

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