Lumentum files Form 144 to sell 3,500 shares

Lumentum Holdings, Inc. filed a Form 144 notice reporting a proposed sale of 3,500 shares of Common Stock through Merrill Lynch on NASDAQ.

Rhea-AI Filing Summary

Lumentum Holdings, Inc. filed a Form 144 notice reporting a proposed sale of 3,500 shares of Common Stock through Merrill Lynch on NASDAQ. The filing lists an aggregate figure of $3,188,902.34 and an associated date of 05/08/2026. The excerpt also lists compensatory stock grants dated 12/17/2021, 12/17/2020, and 11/18/2021 with nearby numeric entries 1,453, 1,454, and 2,666 respectively.

Key Figures

Shares to be sold: 3,500 shares Aggregate figure: $3,188,902.34 Filing date / associated date: 05/08/2026 +3 more

6 metrics

Shares to be sold 3,500 shares listed alongside Merrill Lynch and NASDAQ

Aggregate figure $3,188,902.34 listed in the same row as 3,500 shares and broker

Filing date / associated date 05/08/2026 date shown in the securities row

Compensatory grant — 12/17/2021 1,453 entry adjacent to grant date 12/17/2021

Compensatory grant — 12/17/2020 1,454 entry adjacent to grant date 12/17/2020

Compensatory grant — 11/18/2021 2,666 entry adjacent to grant date 11/18/2021

Key Terms

Form 144, Compensatory Payment, Common Stock

3 terms

Form 144 regulatory

"Filer Information | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Compensatory Payment financial

"Compensatory Payment Common Stock | 12/17/2021"

Common Stock financial

"144: Securities To Be Sold Common Stock | Merrill Lynch"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Lumentum's Form 144 (LITE) disclose about the sale?

It reports a proposed sale of 3,500 common shares. The filing names Merrill Lynch and shows an aggregate figure of $3,188,902.34 with an associated date of 05/08/2026 and lists related compensatory grant dates.

Who is the broker or intermediary listed on the Form 144?

Merrill Lynch is listed as the broker/intermediary. The address shown is 75 Rockefeller Plaza, Fl 7, New York, NY, and the sale is identified as occurring on NASDAQ in the excerpted table.

Are there grant dates or compensatory awards referenced in the filing?

Yes — grants dated 12/17/2021, 12/17/2020, and 11/18/2021 are listed. Adjacent numbers 1,453, 1,454, and 2,666 appear near those grant entries in the excerpt.

Does the filing specify how proceeds will be used?

The excerpt does not state a use of proceeds. It lists the security, broker, share and aggregate figures, and grant dates, but no allocation or purpose for proceeds is provided in the provided text.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/08/2026 - 04:40 PM EDT Learn about SEC filing dates

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	0001714910
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Lumentum Holdings, Inc
SEC File Number
Address of Issuer	1001 Ridder Park Drive San Jose CALIFORNIA 95131
Phone	4084040607
Name of Person for Whose Account the Securities are To Be Sold	Ian Small
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	Director

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 Stock	Merrill Lynch 75 Rockefeller Plaza Fl 7 New York NY 10019	3500	3188902.34	24679	05/08/2026	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 Stock	12/17/2021	Stock Bonus	Lumentum Holdings, Inc			1453	12/17/2021	Compensatory Payment
Common Stock	12/17/2020	Stock Bonus	Lumentum Holdings, Inc			1454	12/17/2020	Compensatory Payment
Common Stock	11/18/2021	Stock Bonus	Lumentum Holdings, Inc			2666	11/18/2021	Compensatory Payment

* 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

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/08/2026
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	Ian Small
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)