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
August 26, 2020 Filed Aug 28, 2020 16:47 UTC	VERINT SYSTEMS INC VRNT · Entity 72443	GrantCommon Stock	4,326	$0.00	$0.00	Disclosure SEC source: 0001166388-20-000099 · wf-form4_159864764452418.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,027 F1 · shares: Grant of restricted stock units vesting 100% on April 8, 2021. Read SEC document
May 04, 2020 Filed May 5, 2020 01:59 UTC	PROS Holdings, Inc. PRO · Entity 71777	SaleCommon Stock	664	$32.60	$21,646.40	Disclosure SEC source: 0001392972-20-000092 · wf-form4_158864394597406.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,578 F1 · shares: The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2019. F2 · price: Represents the average price for 17 total transactions in a range from $31.11 to $33.16. Read SEC document
April 29, 2020 Filed Apr 30, 2020 22:34 UTC	PROS Holdings, Inc. PRO · Entity 71777	GrantRestricted Stock Units · Derivative	4,811	$0.00	$0.00	Disclosure SEC source: 0001392972-20-000085 · wf-form4_158828603749784.xml · derivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,811 Underlying: Common Stock · 4,811 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F4 · derivative.exercise_date: This grant vests on the earlier of April 29, 2021 or the date of the Issuer's 2021 annual shareholder meeting. F4 · derivative.expiration_date: This grant vests on the earlier of April 29, 2021 or the date of the Issuer's 2021 annual shareholder meeting. Read SEC document
April 29, 2020 Filed Apr 30, 2020 22:34 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionRestricted Stock Units · Derivative	1,660	$0.00	$0.00	Disclosure SEC source: 0001392972-20-000085 · wf-form4_158828603749784.xml · derivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,660 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.exercise_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F3 · derivative.exercise_date: These RSUs vested on April 29, 2020, the date of the Issuer's 2020 annual shareholder meeting. F3 · derivative.expiration_date: These RSUs vested on April 29, 2020, the date of the Issuer's 2020 annual shareholder meeting. Read SEC document
April 29, 2020 Filed Apr 30, 2020 22:34 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionCommon Stock	1,660	$34.29	$56,921.40	Disclosure SEC source: 0001392972-20-000085 · wf-form4_158828603749784.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,242 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, 2020. Read SEC document
January 15, 2020 Filed Jan 17, 2020 20:39 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionRestricted Stock Units · Derivative	4,980	$0.00	$0.00	Disclosure SEC source: 0001392972-20-000029 · wf-form4_157929354181993.xml · derivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,660 Underlying: Common Stock · 4,980 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: The grant awarded on January 15, 2019 includes 6,640 restricted stock units, with 75% (4,980) vesting on January 15, 2020, and the remainder 25% (1,660) vesting on the earlier of May 1, 2020 or the 2020 annual shareholder meeting date. F5 · derivative.expiration_date: The grant awarded on January 15, 2019 includes 6,640 restricted stock units, with 75% (4,980) vesting on January 15, 2020, and the remainder 25% (1,660) vesting on the earlier of May 1, 2020 or the 2020 annual shareholder meeting date. F6 · balance_after: Represents the remaining 25% of shares from the grant referenced in footnote 5 of this Form 4, which will vest on the earlier of May 1, 2020 or the 2020 annual shareholder meeting date. Read SEC document
January 15, 2020 Filed Jan 17, 2020 20:39 UTC	PROS Holdings, Inc. PRO · Entity 71777	SaleCommon Stock	1,992	$67.88	$135,216.96	Disclosure SEC source: 0001392972-20-000029 · wf-form4_157929354181993.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,582 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 November 8, 2019. F3 · price: Represents the average price for 25 total transactions in a range from $67.15 to $68.34. Read SEC document
January 15, 2020 Filed Jan 17, 2020 20:39 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionCommon Stock	4,980	$67.95	$338,391.00	Disclosure SEC source: 0001392972-20-000029 · wf-form4_157929354181993.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,574 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: The price represents the price of the Issuer's common stock at the close of market on January 15, 2020. Read SEC document
November 18, 2019 Filed Nov 20, 2019 21:43 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	1,207	$68.87	$83,130.19	Disclosure SEC source: 0001209191-19-057453 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,617 F1 · price: These sales were executed in multiple trades at prices ranging from $68.555 to $69.19. 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 14, 2019 Filed Nov 19, 2019 02:12 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	4,064	$0.00	$0.00	Disclosure SEC source: 0001209191-19-057056 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,824 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 one-year anniversary of the grant date, 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 01, 2019 Filed Nov 4, 2019 17:44 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionRestricted Stock Units · Derivative	2,405	$0.00	$0.00	Disclosure SEC source: 0001392972-19-000153 · wf-form4_157288948025899.xml · derivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,640 Underlying: Common Stock · 2,405 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.exercise_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F2 · shares: These shares are being issued from the grant listed in Footnote 3 below. They were originally reported on Form 4 filed on January 14, 2019 as being withheld for payment of taxes; which did not occur. These shares were issued to the Reporting Person on November 1, 2019. This has been corrected on Form 4/A filed on November 1, 2019. F3 · derivative.exercise_date: Includes 2,405 restricted stock units awarded on January 8, 2018 which by their terms vested on January 10, 2019 and were issued to the Reporting Person on November 1, 2019. F3 · derivative.expiration_date: Includes 2,405 restricted stock units awarded on January 8, 2018 which by their terms vested on January 10, 2019 and were issued to the Reporting Person on November 1, 2019. F4 · balance_after: Includes 6,640 unvested restricted stock units awarded on January 15, 2019, with 75% (4,980 restricted stock units) vesting on January 15, 2020 and the remaining 25% (1,660 restricted stock units) vesting on the earlier of May 1, 2020 or the 2020 annual shareholder meeting date. Read SEC document
November 01, 2019 Filed Nov 4, 2019 17:44 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionCommon Stock	2,405	$32.48	$78,114.40	Disclosure SEC source: 0001392972-19-000153 · wf-form4_157288948025899.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,405 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
April 19, 2019 Filed Apr 23, 2019 16:41 UTC	VERINT SYSTEMS INC VRNT · Entity 72443	GrantCommon Stock	3,300	$0.00	$0.00	Disclosure SEC source: 0001166388-19-000062 · wf-form4_155605209345267.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,701 F1 · shares: Grant of restricted stock units vesting 100% on April 6, 2020. Read SEC document
April 09, 2019 Filed Apr 11, 2019 17:19 UTC	VERINT SYSTEMS INC VRNT · Entity 72443	Tax withholdingCommon Stock	1,910	$62.04	$118,496.40	Disclosure SEC source: 0001166388-19-000035 · wf-form4_155501754465433.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,401 F1 · shares: Shares withheld by the Company pursuant to the reporting person's award agreement in order to facilitate tax payments by the reporting person resulting from the vesting of a previously disclosed award. Read SEC document
January 15, 2019 Filed Jan 18, 2019 00:09 UTC	PROS Holdings, Inc. PRO · Entity 71777	GrantRestricted Stock Units · Derivative	6,640	$0.00	$0.00	Disclosure SEC source: 0001392972-19-000040 · wf-form4_154777014975813.xml · derivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,640 Underlying: Common Stock · 6,640 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F2 · derivative.exercise_date: Includes 6,640 restricted stock units awarded on January 15, 2019, with 75% (4,980 restricted stock units) vesting on January 15, 2020, and the remaining 25% (1,660 restricted stock units) vesting on the earlier of May 1, 2020 or the 2020 annual shareholder meeting date. F2 · derivative.expiration_date: Includes 6,640 restricted stock units awarded on January 15, 2019, with 75% (4,980 restricted stock units) vesting on January 15, 2020, and the remaining 25% (1,660 restricted stock units) vesting on the earlier of May 1, 2020 or the 2020 annual shareholder meeting date. Read SEC document
January 10, 2019 Filed Jan 14, 2019 21:31 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionRestricted Stock Units · Derivative	5,594	$0.00	$0.00	Disclosure SEC source: 0001392972-19-000030 · wf-form4_154750147148122.xml · derivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,594 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.exercise_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F2 · derivative.exercise_date: Includes 5,594 restricted stock units awarded on January 8, 2018, which fully vested on January 10, 2019. F2 · derivative.expiration_date: Includes 5,594 restricted stock units awarded on January 8, 2018, which fully vested on January 10, 2019. Read SEC document
January 10, 2019 Filed Jan 14, 2019 21:31 UTC	PROS Holdings, Inc. PRO · Entity 71777	Tax withholdingCommon Stock	2,405	$32.48	$78,114.40	Disclosure SEC source: 0001392972-19-000030 · wf-form4_154750147148122.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,189 Read SEC document
January 10, 2019 Filed Jan 14, 2019 21:31 UTC	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionCommon Stock	5,594	$32.48	$181,693.12	Disclosure SEC source: 0001392972-19-000030 · wf-form4_154750147148122.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,594 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
January 10, 2019 Filed Nov 4, 2019 17:43 UTC Amendment	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionRestricted Stock Units · Derivative	3,189	$0.00	$0.00	Disclosure SEC source: 0001392972-19-000151 · wf-form4a_157288938109170.xml · derivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,189 Underlying: Common Stock · 3,189 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.exercise_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F2 · derivative.exercise_date: Includes 5,594 restricted stock units awarded on January 8, 2018 which fully vest on January 10, 2019. F2 · derivative.expiration_date: Includes 5,594 restricted stock units awarded on January 8, 2018 which fully vest on January 10, 2019. Read SEC document
January 10, 2019 Filed Nov 4, 2019 17:43 UTC Amendment	PROS Holdings, Inc. PRO · Entity 71777	Exercise / conversionCommon Stock	3,189	$32.48	$103,578.72	Disclosure SEC source: 0001392972-19-000151 · wf-form4a_157288938109170.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,189 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
November 09, 2018 Filed Nov 10, 2018 01:00 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	3,017	$0.00	$0.00	Disclosure SEC source: 0001633978-18-000128 · edgar.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,760 F1 · shares: Each restricted stock unit (RSU) represents the contingent right to receive, following vesting, one share of Common Stock of Lumentum Holdings. 100% of the shares shall vest on the one (1) year anniversary of the grant date, subject to the Participant continuing through such date to be a Service Provider as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document
November 02, 2018 Filed Nov 2, 2018 23:23 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	1,197	$52.93	$63,353.38	Disclosure SEC source: 0001633978-18-000116 · edgar.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,743 F1 · kind: Shares sold under a 10B5-1 Trading Plan. F2 · kind: 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 $52.21 to $55.05. This transaction was apart of a group sale. 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. F2 · 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 $52.21 to $55.05. This transaction was apart of a group sale. 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
August 15, 2018 Filed Aug 17, 2018 00:41 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionRestricted Stock Units · Derivative	3,282	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001633978-18-000074 · edgar.xml · derivative · entry 4 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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. F3 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document
August 15, 2018 Filed Aug 17, 2018 00:41 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	100	$59.70	$5,970.00	Disclosure SEC source: 0001633978-18-000074 · edgar.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,940 F1 · kind: Shares sold under a 10B5-1 Trading Plan. Read SEC document
August 15, 2018 Filed Aug 17, 2018 00:41 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	1,213	$58.78	$71,302.57	Disclosure SEC source: 0001633978-18-000074 · edgar.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,040 F1 · kind: Shares sold under a 10B5-1 Trading Plan. F2 · kind: 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 $58.50 to $59.00. This transaction was apart of a group sale. 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. F2 · 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 $58.50 to $59.00. This transaction was apart of a group sale. 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
August 15, 2018 Filed Aug 17, 2018 00:41 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionCommon Stock	3,282	$0.00	$0.00	Disclosure SEC source: 0001633978-18-000074 · edgar.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,253 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
April 20, 2018 Filed Apr 23, 2018 17:21 UTC	VERINT SYSTEMS INC VRNT · Entity 72443	GrantCommon Stock	4,773	$0.00	$0.00	Disclosure SEC source: 0001166388-18-000047 · wf-form4_152451849059500.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,311 F1 · shares: Grant of restricted stock units vesting on April 9, 2019. Read SEC document
April 12, 2018 Filed Apr 16, 2018 16:51 UTC	VERINT SYSTEMS INC VRNT · Entity 72443	Tax withholdingCommon Stock	1,692	$40.95	$69,287.40	Disclosure SEC source: 0001166388-18-000032 · wf-form4_152391186769506.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,538 F1 · shares: Shares withheld by the Company pursuant to the reporting person's award agreement in order to facilitate tax payments by the reporting person resulting from the vesting of a previously disclosed award. Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:38 UTC	PROS Holdings, Inc. PRO · Entity 71777	GrantRestricted Stock Units · Derivative	5,594	$0.00	$0.00	Disclosure SEC source: 0001392972-18-000040 · wf-form4_151562028663365.xml · derivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,594 Underlying: Common Stock · 5,594 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of PROS Holdings, Inc. common stock. F2 · derivative.exercise_date: Includes 5,594 restricted stock units awarded on January 8, 2018 which fully vest on January 10, 2019. F2 · derivative.expiration_date: Includes 5,594 restricted stock units awarded on January 8, 2018 which fully vest on January 10, 2019. Read SEC document
December 08, 2017 Filed Dec 11, 2017 23:43 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock · Derivative	2,055	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001633978-17-000159 · wf-form4_151303582342476.xml · derivative · entry 4 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,055 shares Expires not disclosed F4 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document
December 08, 2017 Filed Dec 11, 2017 23:43 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	222	$49.61	$11,013.42	Disclosure SEC source: 0001633978-17-000159 · wf-form4_151303582342476.xml · nonDerivative · entry 3 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,971 F3 · 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 $49.20 to $49.95. 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
December 08, 2017 Filed Dec 11, 2017 23:43 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	600	$50.98	$30,588.00	Disclosure SEC source: 0001633978-17-000159 · wf-form4_151303582342476.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,193 F2 · 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 $50.50 to $51.30. 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
December 08, 2017 Filed Dec 11, 2017 23:43 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionCommon Stock	2,055	$0.00	$0.00	Disclosure SEC source: 0001633978-17-000159 · wf-form4_151303582342476.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,793 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
November 02, 2017 Filed Nov 3, 2017 22:29 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	2,992	$0.00	$0.00	Disclosure SEC source: 0001633978-17-000123 · wf-form4_150974817667207.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,738 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Read SEC document
October 02, 2017 Filed Oct 4, 2017 20:16 UTC	RAMBUS INC RMBS · Entity 3575	GrantCommon Stock	11,792	$0.00	$0.00	Disclosure SEC source: 0001209191-17-055789 · doc4.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,666 F4 · shares: Shares are represented by restricted stock units. Each restricted stock unit represents a contingent right to receive one share of RMBS common stock. F5 · shares: All of the restricted stock units will vest on October 2, 2018 or the first business trading day thereafter. Read SEC document
October 02, 2017 Filed Oct 4, 2017 20:16 UTC	RAMBUS INC RMBS · Entity 3575	SaleCommon Stock	6,437	$13.44	$86,537.10	Disclosure SEC source: 0001209191-17-055789 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,145 F1 · kind: 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 · price: 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 · ownership.nature: Shares held directly by the 2001 Herscher Family Trust for which the Reporting Person serves as a trustee. Read SEC document
August 15, 2017 Filed Aug 18, 2017 01:19 UTC	Lumentum Holdings Inc. LITE · Entity 2957	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	Lumentum Holdings Inc. LITE · Entity 2957	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	Lumentum Holdings Inc. LITE · Entity 2957	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
April 20, 2017 Filed Apr 24, 2017 16:31 UTC	VERINT SYSTEMS INC VRNT · Entity 72443	GrantCommon Stock	4,230	$0.00	$0.00	Disclosure SEC source: 0001166388-17-000055 · wf-form4_149306587289850.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,230 F1 · shares: Grant of restricted stock units vesting on April 12, 2018. Read SEC document
February 15, 2017 Filed Feb 17, 2017 23:12 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	770	$49.40	$38,038.00	Disclosure SEC source: 0001633978-17-000017 · wf-form4_148737311200855.xml · nonDerivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,777 F1 · kind: Sale of shares pursuant to 10b5-1 plan dated 11/26/2016. Read SEC document
February 15, 2017 Filed Feb 17, 2017 23:12 UTC	Lumentum Holdings Inc. LITE · Entity 2957	SaleCommon Stock	4,770	$49.43	$235,770.13	Disclosure SEC source: 0001633978-17-000017 · wf-form4_148737311200855.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,547 F1 · kind: Sale of shares pursuant to 10b5-1 plan dated 11/26/2016. F2 · 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 $49.10 to $50.15. 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
December 15, 2016 Filed Dec 17, 2016 00:37 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionRestricted Stock Units · Derivative	9,869	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001633978-16-000148 · wf-form4_148193504035167.xml · derivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,869 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
December 15, 2016 Filed Dec 17, 2016 00:37 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionCommon Stock	9,869	$0.00	$0.00	Disclosure SEC source: 0001633978-16-000148 · wf-form4_148193504035167.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,317 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
December 08, 2016 Filed Dec 9, 2016 23:38 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionRestricted Stock Units · Derivative	2,055	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001633978-16-000144 · wf-form4_148132668988689.xml · derivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,055 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
December 08, 2016 Filed Dec 9, 2016 23:38 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionCommon Stock	2,055	$0.00	$0.00	Disclosure SEC source: 0001633978-16-000144 · wf-form4_148132668988689.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,448 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
November 28, 2016 Filed Nov 29, 2016 01:42 UTC	RAMBUS INC RMBS · Entity 3575	SaleCommon Stock	30,000	$13.56	$406,800.00	Disclosure SEC source: 0001209191-16-152239 · doc4.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 32,582 F1 · price: The sale price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $13.48 to $13.68. 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. F2 · ownership.nature: Shares held directly by the 2001 Herscher Family Trust for which the Reporting Person serves as a trustee. Read SEC document
November 14, 2016 Filed Nov 17, 2016 00:19 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionRestricted Stock Units · Derivative	1,924	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001633978-16-000118 · wf-form4_147934195191589.xml · derivative · entry 2 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,924 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
November 14, 2016 Filed Nov 17, 2016 00:19 UTC	Lumentum Holdings Inc. LITE · Entity 2957	Exercise / conversionCommon Stock	1,924	$0.00	$0.00	Disclosure SEC source: 0001633978-16-000118 · wf-form4_147934195191589.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,393 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
November 11, 2016 Filed Nov 16, 2016 01:43 UTC	Lumentum Holdings Inc. LITE · Entity 2957	GrantCommon Stock	4,264	$0.00	$0.00	Disclosure SEC source: 0001633978-16-000108 · wf-form4_147926059250006.xml · nonDerivative · entry 1 HERSCHER PENNY · CIK 0001232019 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,469 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Upon retirement of an outside Director, all unvested RSUs will automatically vest in full. 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.