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 |
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 | 21,116 |
Reported balance
After 2026-07-15 transaction · row 1
1 source rowRow 1 · 2026-07-15 · Grant · Acquired 108 · Balance 21,116 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. |
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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
OCLARO, INC.
Report date December 10, 2018 · Filed December 10, 2018
Section 16 reporting ended · disclosed 2018-12-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 1
1 source rowRow 1 · 2018-12-10 · Disposition to issuer · Disposed 42,153 · Balance 0 F1: 13,645 of these securities were restricted shares of Oclaro, Inc. ("Oclaro") common stock subject to outstanding awards. All outstanding Oclaro restricted stock awards held by non-employee directors of Oclaro vested in full at the effective time of the Merger (as defined below) in accordance with their terms and conditions. In accordance with the Merger Agreement (as defined below), these restricted stock awards were converted into the right to receive the Merger Consideration (as defined below) in respect of each Oclaro share underlying such award. F2: Pursuant to Agreement and Plan of Merger, dated March 11, 2018 (the "Merger Agreement"), Lumentum Holdings Inc. ("Lumentum") acquired Oclaro in a merger transaction (the "Merger") which became effective on December 10, 2018. At the effective time of the Merger, each share of Oclaro common stock converted into the right to receive, without interest, (a) $5.60 in cash and (b) 0.0636 of a share of common stock of Lumentum ("Merger Consideration"). |
Filing footnotes · ownership attribution and instrument terms
F1: 13,645 of these securities were restricted shares of Oclaro, Inc. ("Oclaro") common stock subject to outstanding awards. All outstanding Oclaro restricted stock awards held by non-employee directors of Oclaro vested in full at the effective time of the Merger (as defined below) in accordance with their terms and conditions. In accordance with the Merger Agreement (as defined below), these restricted stock awards were converted into the right to receive the Merger Consideration (as defined below) in respect of each Oclaro share underlying such award.
F2: Pursuant to Agreement and Plan of Merger, dated March 11, 2018 (the "Merger Agreement"), Lumentum Holdings Inc. ("Lumentum") acquired Oclaro in a merger transaction (the "Merger") which became effective on December 10, 2018. At the effective time of the Merger, each share of Oclaro common stock converted into the right to receive, without interest, (a) $5.60 in cash and (b) 0.0636 of a share of common stock of Lumentum ("Merger Consideration").
Transaction history
JSON APIPurchases/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 00:18 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 108 | $0.00 | $0.00 |
DisclosureSEC source: 0001714910-26-000003 · form4-07172026_120713.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,116 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 |
| May 21, 2026 Filed May 22, 2026 20:37 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 4,954 | $868.07 | $4,300,418.78 |
DisclosureSEC source: 0001714910-26-000002 · form4-05222026_080529.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,008 F1 · kind: The Reporting Person contributed the Common Stock to an exchange fund in exchange for the right to receive shares in the exchange fund at a later date which is expected to be at least seven years from the date of transfer. The shares were originally transferred into an escrow account on May 19, 2026 before the official contribution on May 21, 2026. The Reporting Person has no further voting control over the transferred shares, nor does he control the investment decisions of the exchange fund or the shares he ultimately receives in exchange for the transferred shares. For purposes of determining the number of shares of the exchange fund issuable pursuant to such exchange, the Common Stock was valued at $868.07, which was the closing price of the Common Stock on The Nasdaq Global Select Market on the day prior to the exchange. Read SEC document |
| May 08, 2026 Filed May 12, 2026 23:10 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 571 | $912.26 | $520,902.97 |
DisclosureSEC source: 0001714910-26-000001 · form4-05122026_110538.xml · nonDerivative · entry 3 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,962 F3 · price: These sales were executed in multiple trades at prices ranging from $912.07 to $912.72. 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 |
| May 08, 2026 Filed May 12, 2026 23:10 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 892 | $911.52 | $813,071.56 |
DisclosureSEC source: 0001714910-26-000001 · form4-05122026_110538.xml · nonDerivative · entry 2 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,533 F2 · price: These sales were executed in multiple trades at prices ranging from $911.025 to $911.96. 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 |
| May 08, 2026 Filed May 12, 2026 23:10 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 2,037 | $910.72 | $1,855,133.58 |
DisclosureSEC source: 0001714910-26-000001 · form4-05122026_110538.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,425 F1 · price: These sales were executed in multiple trades at prices ranging from $910.02 to $911.01. 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, 2025 Filed Nov 22, 2025 00:18 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 1,283 | $0.00 | $0.00 |
DisclosureSEC source: 0001714910-25-000003 · form4-11222025_121119.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,462 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 |
| November 20, 2024 Filed Nov 23, 2024 00:08 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 3,313 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-027586 · form4-11232024_121138.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,179 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 17, 2023 Filed Nov 22, 2023 00:01 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 5,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-056385 · doc4.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,866 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 |
| November 16, 2022 Filed Nov 17, 2022 01:25 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 3,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-22-000055 · wf-form4_166864831367160.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,450 F1 · 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 19, 2021 Filed Nov 22, 2021 22:23 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 2,618 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-21-000092 · wf-form4_163761977532323.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,389 F1 · 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 19, 2020 Filed Nov 21, 2020 01:12 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 2,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-059838 · doc4.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,771 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 14, 2019 Filed Nov 19, 2019 02:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 4,064 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-057059 · doc4.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,105 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 |
| December 17, 2018 Filed Dec 17, 2018 22:24 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 4,361 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000154 · edgar.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,041 F1 · shares: Each restricted stock unit (RSU) represents the contingent right to receive, following vesting, one share of Common Stock of Lumentum Holdings. Such award will vest in three equal annual installments on each anniversary of the date the individual's service as a non-employee director commences, subject to continued service as a director through the applicable vesting date. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerCommon Stock | 42,153 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007618 · marketforms-43225.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: 13,645 of these securities were restricted shares of Oclaro, Inc. ("Oclaro") common stock subject to outstanding awards. All outstanding Oclaro restricted stock awards held by non-employee directors of Oclaro vested in full at the effective time of the Merger (as defined below) in accordance with their terms and conditions. In accordance with the Merger Agreement (as defined below), these restricted stock awards were converted into the right to receive the Merger Consideration (as defined below) in respect of each Oclaro share underlying such award. F2 · price: Pursuant to Agreement and Plan of Merger, dated March 11, 2018 (the "Merger Agreement"), Lumentum Holdings Inc. ("Lumentum") acquired Oclaro in a merger transaction (the "Merger") which became effective on December 10, 2018. At the effective time of the Merger, each share of Oclaro common stock converted into the right to receive, without interest, (a) $5.60 in cash and (b) 0.0636 of a share of common stock of Lumentum ("Merger Consideration"). Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 19:00 UTC | OCLARO, INC. OCLR · Entity 161934 | GrantCommon Stock | 18,762 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-17-006892 · marketforms-40173.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,153 F1 · kind: Represents a grant of restricted stock awards, which vests 100% on the first anniversary of the date of grant. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 19:42 UTC | OCLARO, INC. OCLR · Entity 161934 | GrantCommon Stock | 23,391 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-17-005506 · marketforms-39537.xml · nonDerivative · entry 1 Small Ian · CIK 0001714910 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,391 F1 · shares: Represents the grant of a restricted stock award, which vests 1/3rd on the one year anniversary of the date of grant (Initial Vesting Date) and 8.33% every November 10th, February 10th, May 10th and August 10th following the Initial Vesting Date over the two years of continuous service thereafter. 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.