[144] Lumentum Holdings Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Lumentum Holdings, Inc. (LITE) reports a proposed sale of 109 shares of common stock through Morgan Stanley Smith Barney with an aggregate market value of $12,383.49 and an approximate sale date of 08/15/2025. The filing states these shares were acquired as restricted stock from the issuer on 08/15/2024. The issuer has 69,400,000 shares outstanding, placing the proposed sale at a de minimis fraction of total shares. The filing also discloses prior sales by the same person totaling 2,095 shares across dates from 05/16/2025 to 08/06/2025 with listed gross proceeds.

Positive

• Compliance filing completed documenting the proposed sale under Rule 144
• Proposed sale is small at 109 shares relative to 69,400,000 outstanding shares

Negative

• Insider has sold 2,095 shares during the past three months, as disclosed in the filing

Insights

Securities Analyst

TL;DR: Routine insider sale notice; proposed sale size is negligible versus shares outstanding.

The Form 144 is a standard compliance filing notifying the SEC of an intended sale of restricted shares. The proposed 109-share sale valued at $12,383.49 is immaterial relative to the reported 69.4 million shares outstanding, indicating no obvious market-moving intent. The filer previously sold 2,095 shares over the past three months, which is also small in absolute terms. From a securities-compliance perspective, the filing documents acquisition as issuer-granted restricted stock and identifies the executing broker.

Corporate Governance Expert

TL;DR: Filing shows insider liquidity event but no material governance or control changes.

The notice confirms the shares were acquired from the issuer as restricted stock and that the seller affirms no undisclosed material adverse information. There is no indication of leadership change, related-party transactions, or aggregated sales that would materially affect control. The cumulative recent sales (2,095 shares) and the proposed 109-share sale are minor and do not suggest a change in ownership concentration or governance risk.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	109	12383.49	69400000	08/15/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/15/2024	Restricted Stock	ISSUER			109	08/15/2024	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/06/2025	241	26109.94
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/05/2025	241	26926.93
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/04/2025	241	26049.69
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	07/23/2025	265	26478.80
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	07/22/2025	264	27226.32
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	07/21/2025	264	26986.08
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	05/19/2025	289	21929.32
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	05/16/2025	252	19650.96
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	05/16/2025	38	2963.24

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does LITE Form 144 disclose about the proposed sale?

The filing discloses a proposed sale of 109 common shares with aggregate market value $12,383.49, to be executed ~08/15/2025 through Morgan Stanley Smith Barney.

How were the 109 shares acquired according to the filing?

The shares were acquired as restricted stock from the issuer on 08/15/2024 and the payment/nature is listed as Not Applicable.

How many shares has the filer sold in the past three months?

The filing lists prior sales totaling 2,095 shares across dates between 05/16/2025 and 08/06/2025 with disclosed gross proceeds.

Who is the broker handling the proposed sale?

The broker named in the filing is Morgan Stanley Smith Barney LLC.

Does the filing indicate any undisclosed material information about Lumentum (LITE)?

The filer represents by signature that they do not know of any material adverse information about the issuer that has not been publicly disclosed.