Lumentum officer plans $460K stock sale

An officer of Lumentum Holdings Inc. filed a Rule 144 notice to sell a small block of restricted common shares, with recent prior sales disclosed.

Available on EDGAR 09/18/2026 - 04:11 PM EDT Accepted by SEC EDGAR 09/18/2026 - 04:10 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) received a notice under Rule 144 that officer Wupen Yuen plans to sell 500 shares of common stock through Morgan Stanley Smith Barney LLC. The securities to be sold are restricted stock held for the issuer’s account, and the filing also lists recent open-market sales.

Key Figures

Shares planned for sale: 500 shares Approximate aggregate market value of planned sale: $460,000.00 Largest single recent sale: 1,500 shares for $1,241,730.00 +1 more

4 metrics

Shares planned for sale 500 shares Planned Rule 144 sale of Lumentum Holdings Inc. common stock by officer Wupen Yuen

Approximate aggregate market value of planned sale $460,000.00 Reported for the 500 shares of common stock to be sold under Rule 144

Largest single recent sale 1,500 shares for $1,241,730.00 Common stock sale by Wupen Yuen on August 20, 2026 disclosed in the three-month sales history

Example recent sale 500 shares for $466,725.00 Common stock sale by Wupen Yuen on September 17, 2026 listed in the three-month sales section

Key Terms

Rule 144, Restricted Stock, aggregate market value

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Restricted Stock financial

"Common | 08/21/2025 | Restricted Stock | ISSUER"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

aggregate market value financial

"Common ... 500 | 460000.00 | 89700000 | 09/18/2026"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

FAQ

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

What does LITE’s latest Form 144 filing disclose?

It discloses that officer Wupen Yuen has filed a Rule 144 notice to sell 500 shares of Lumentum Holdings Inc. common stock, identifying the shares as restricted stock and naming Morgan Stanley Smith Barney LLC Executive Financial Services as the broker.

How many Lumentum (LITE) shares are covered by the planned Rule 144 sale?

The planned sale covers 500 shares of Lumentum Holdings Inc. common stock. The filing lists these as restricted stock to be sold for the account of officer Wupen Yuen.

Who is selling Lumentum (LITE) shares under this Form 144?

The seller is Wupen Yuen, identified as an officer of Lumentum Holdings Inc. The Form 144 is filed for sales of the company’s common stock from this holder’s account.

Which broker is handling the planned LITE share sale?

The planned sale is to be handled by Morgan Stanley Smith Barney LLC Executive Financial Services, listed at 1 New York Plaza, 8th Floor, New York, NY 10004, in connection with Lumentum Holdings Inc. common stock.

What recent Lumentum (LITE) share sales by the same holder are disclosed?

The filing lists multiple sales by Wupen Yuen in the prior three months, including 1,500 shares of common stock sold on August 20, 2026 for $1,241,730.00, plus numerous additional 500-share transactions on later dates with corresponding dollar amounts.

On which market are the Lumentum (LITE) shares referenced in the Form 144 traded?

The common stock referenced in the Form 144 is indicated as traded on NASDAQ. The form identifies the security as Lumentum Holdings Inc. common stock with NASDAQ as the market.

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

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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	0001489550
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	001-36861
Address of Issuer	1001 Ridder Park Drive San Jose CALIFORNIA 95131
Phone	(408) 546-5483
Name of Person for Whose Account the Securities are To Be Sold	WUPEN YUEN
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	Officer

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	500	460000.00	89700000	09/18/2026	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	08/21/2025	Restricted Stock	ISSUER			500	08/21/2025	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	09/17/2026	500	466725.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/16/2026	500	428415.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/15/2026	500	420755.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/14/2026	500	431070.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/11/2026	500	472205.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/10/2026	500	480720.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/09/2026	500	489270.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/08/2026	500	447995.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/04/2026	500	430000.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/03/2026	500	435005.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/02/2026	500	432245.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/01/2026	500	450520.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/31/2026	500	447500.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/28/2026	500	470475.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/27/2026	500	479330.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/26/2026	500	441075.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/25/2026	500	428322.50
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/24/2026	500	412120.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/21/2026	500	449075.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/20/2026	1500	1241730.00

144: Remarks and Signature

Remarks
Date of Notice	09/18/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	05/19/2026
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	/s/ Wupen Yuen
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)