Lumentum officer plans sale of 500 shares

Officer Wupen Yuen files a Rule 144 notice to sell 500 Lumentum (LITE) shares, following several recent open-market sales.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) is the issuer for a Form 144 filed by officer Wupen Yuen covering planned sales of company common stock. The notice reports an intention to sell 500 shares of common stock through Morgan Stanley Smith Barney, with the shares identified as performance shares acquired from the issuer on August 21, 2025.

The filing also lists a pattern of recent open-market sales by Wupen Yuen over the prior three months, including multiple blocks of 500 shares and one block of 1,500 shares on August 20, 2026. These disclosures provide transparency into recent and anticipated insider dispositions of LITE common stock under Rule 144.

Key Figures

Planned shares to be sold: 500 shares Acquisition date of performance shares: August 21, 2025 Largest recent sale amount: $1,241,730.00 +2 more

5 metrics

Planned shares to be sold 500 shares Common stock covered by the Form 144 notice

Acquisition date of performance shares August 21, 2025 Date the 500 performance shares were acquired from the issuer

Largest recent sale amount $1,241,730.00 Sale of 1,500 shares of common stock on August 20, 2026

Recent 500-share sale on September 1, 2026 $450,520.00 Reported sale of 500 shares of common stock on September 1, 2026

Recent 500-share sale on August 31, 2026 $447,500.00 Reported sale of 500 shares of common stock on August 31, 2026

Key Terms

Rule 144, performance shares, Form 144

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.

performance shares financial

"Common | 08/21/2025 | Performance Shares | ISSUER"

Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

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.

FAQ

What does the Form 144 filing for LITE disclose about Wupen Yuen's planned sale?

The Form 144 states that officer Wupen Yuen intends to sell 500 shares of Lumentum Holdings Inc. common stock. The shares are described as performance shares acquired from the issuer on August 21, 2025, to be sold through Morgan Stanley Smith Barney.

How many LITE shares has Wupen Yuen sold in the past three months?

The notice lists several sales, including multiple 500-share transactions and one sale of 1,500 shares on August 20, 2026. Each transaction is reported with its own date, share amount, and total dollar value.

What was the largest single recent sale by Wupen Yuen reported in the Form 144 for LITE?

The largest single transaction disclosed is a sale of 1,500 shares of Lumentum common stock on August 20, 2026 for total proceeds of $1,241,730.00, as reported in the Form 144 filing.

When were the performance shares in the LITE Form 144 acquired by Wupen Yuen?

The Form 144 indicates that the 500 performance shares covered by the notice were acquired on August 21, 2025 directly from the issuer, Lumentum Holdings Inc.

Which broker is handling the planned LITE share sale disclosed by Wupen Yuen?

The planned sale of 500 LITE shares is to be executed through Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, New York, as identified in the Form 144.

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

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Available on EDGAR 09/02/2026 - 04:03 PM Accepted by SEC EDGAR 09/02/2026 - 04:02 PM 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	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	432245.00	89700000	09/02/2026	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	Performance Shares	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	09/01/2026	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	09/02/2026
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)