Lumentum officer plans $470K stock sale

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) received a Form 144 notice from officer Wupen Yuen regarding a planned sale of common stock. The notice lists a proposed sale of 500 shares of common stock through Morgan Stanley Smith Barney LLC Executive Financial Services, with an aggregate market value of $470,475.00, and notes 89,700,000 shares of common stock outstanding.

The filing also reports prior sales by Wupen Yuen during the past three months, including 1,500 shares of common stock sold on 08/20/2026 for $1,241,730.00 and 500 shares sold on 08/27/2026 for $479,330.00. The securities to be sold are described as Restricted Stock to be sold for the account of the issuer’s officer.

Key Figures

Proposed shares to be sold: 500 shares of common stock Aggregate market value of proposed sale: $470,475.00 Shares outstanding: 89,700,000 shares of common stock +3 more

6 metrics

Proposed shares to be sold 500 shares of common stock Planned sale by officer Wupen Yuen under Form 144

Aggregate market value of proposed sale $470,475.00 Value for 500 proposed shares of Lumentum Holdings Inc. common stock

Shares outstanding 89,700,000 shares of common stock Total Lumentum Holdings Inc. common shares outstanding

Sale on 08/20/2026 1,500 shares for $1,241,730.00 Common stock sold by Wupen Yuen during past three months

Sale on 08/27/2026 500 shares for $479,330.00 Common stock sold by Wupen Yuen during past three months

Sale on 08/24/2026 500 shares for $412,120.00 Common stock sold by Wupen Yuen during past three months

Key Terms

Form 144, Rule 144, Restricted Stock, Securities Sold During The Past 3 Months, +1 more

5 terms

Form 144 regulatory

"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.

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 | 08/15/2025 | 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.

Securities Sold During The Past 3 Months financial

"144: Securities Sold During The Past 3 Months"

Securities To Be Sold financial

"144: Securities To Be Sold"

FAQ

What does Lumentum Holdings Inc. (LITE) disclose in this Form 144?

The filing discloses that officer Wupen Yuen filed a Form 144 to potentially sell 500 shares of Lumentum Holdings Inc. common stock, with an aggregate market value of $470,475.00, and provides details on prior sales and total shares outstanding of 89,700,000.

How many LITE shares is Wupen Yuen planning to sell under this Form 144?

Wupen Yuen is planning a proposed sale of 500 shares of Lumentum Holdings Inc. common stock, with the aggregate market value for this proposed transaction listed as $470,475.00 in the Form 144 notice.

What prior LITE share sales by Wupen Yuen are reported in the past three months?

The filing reports multiple prior sales, including 1,500 shares of common stock sold on 08/20/2026 for $1,241,730.00 and separate sales of 500 shares on several dates, such as 08/27/2026 for $479,330.00.

What type of security is being sold by Wupen Yuen from Lumentum (LITE)?

The security is Lumentum Holdings Inc. common stock, described under “Securities To Be Sold” as Restricted Stock, with a proposed sale of 500 shares for the account of the officer.

How many Lumentum (LITE) shares are outstanding according to this notice?

The Form 144 notes that there are 89,700,000 shares of Lumentum Holdings Inc. common stock outstanding, providing context for the relative size of the proposed and recent sales.

Through which broker is the proposed LITE share sale to be executed?

The proposed sale is listed through Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004, as the broker for the transaction.

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

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Available on EDGAR 08/28/2026 - 04:02 PM Accepted by SEC EDGAR 08/28/2026 - 04:01 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	470475.00	89700000	08/28/2026	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	08/15/2025	Restricted Stock	ISSUER			500	08/15/2025	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	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	08/28/2026
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)