[144] Lumentum Holdings Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Lumentum Holdings Inc. (LITE) reporting a proposed sale of 3,282 shares of common stock valued at $391,378.50 to be sold on or about 08/25/2025 on NASDAQ through Morgan Stanley Smith Barney LLC Executive Financial Services. The shares were acquired as restricted stock from the issuer on 08/23/2024 and payment was recorded the same day. The filer also reported multiple recent sales by Wupen Yuen between 07/21/2025 and 08/19/2025, totaling several hundred shares with gross proceeds listed for each sale.

Positive

• Brokered sale identified: Transaction will be executed through Morgan Stanley Smith Barney LLC Executive Financial Services
• Full acquisition details provided: Shares were acquired as restricted stock from the issuer on 08/23/2024, with payment recorded the same day
• Recent sales disclosed: Multiple prior sales by the seller are listed with dates and gross proceeds, enhancing transparency

Negative

• Concentration of sales by the same individual: Multiple recent disposals by Wupen Yuen are reported in July–August 2025, showing ongoing sell activity

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 notice documenting an intended resale of restricted shares via a broker with prior small sales recorded.

The filing is a standard Rule 144 notice showing the sale channel, class, quantity and value of securities intended for resale. It discloses that the shares were acquired as restricted stock from the issuer and identifies the executing broker and planned trading venue. The included recent sales by the same individual provide transparency on prior dispositions and gross proceeds for each trade. There are no statements in this form indicating undisclosed material nonpublic information.

Equity Trading Specialist

TL;DR: Brokered sale scheduled on NASDAQ with detailed historical sale entries; operationally straightforward for market execution.

The notice specifies the broker (Morgan Stanley Smith Barney LLC Executive Financial Services) and the approximate sale date, which are relevant for trade execution planning. The table of recent sales by Wupen Yuen lists specific dates, amounts and gross proceeds, giving a clear record of recent trading activity. From an execution perspective, the information provided is sufficient for market routing and compliance with Rule 144 disclosure requirements.

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	3282	391378.50	69900000	08/25/2025	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	08/23/2024	Restricted Stock	ISSUER			3282	08/23/2024	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	08/19/2025	109	12818.40
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/18/2025	109	12693.05
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/15/2025	109	12383.49
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

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 the LITE Form 144 disclose about the number of shares to be sold?

The notice states an intended sale of 3,282 common shares of Lumentum (LITE) with an aggregate market value of $391,378.50.

When and where is the LITE sale planned to occur?

The sale is listed with an approximate date of 08/25/2025 and the listed trading venue is NASDAQ.

How were the shares being sold acquired according to the Form 144?

The shares were acquired as restricted stock from the issuer on 08/23/2024, and payment was recorded on that date.

Which broker is named for executing the LITE sale?

The broker named in the filing is Morgan Stanley Smith Barney LLC Executive Financial Services located at 1 New York Plaza, 8th Floor, New York, NY.

Does the filing show recent sales by the same seller?

Yes; the filing lists multiple recent sales by Wupen Yuen between 07/21/2025 and 08/19/2025, with amounts and gross proceeds for each sale.