[144] Lumentum Holdings Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice: The filer notifies a proposed sale of 1,250 common shares of Lumentum Holdings Inc. (LITE) through Morgan Stanley Smith Barney LLC on 08/18/2025 on NASDAQ. The filing lists an aggregate market value of $148,827.75 for the shares and total shares outstanding of 69,400,000. The securities were acquired on 11/18/2021 as restricted stock from the issuer, with payment recorded on the acquisition date. The filer reports no securities sold in the past three months and includes the standard attestation that no undisclosed material adverse information is known.

Insights

Financial Analyst

TL;DR: Insider intends to sell a small block of restricted shares; transaction appears routine and not material to equity base.

The notice documents a proposed sale of 1,250 common shares valued at $148,827.75 to be executed through Morgan Stanley Smith Barney on NASDAQ. The shares were granted as restricted stock on 11/18/2021 and there have been no sales by the filer in the prior three months. Given the stated outstanding share count of 69,400,000, the reported block represents a very small fraction of the total equity and therefore has limited direct impact on market capitalization or EPS dilution based solely on the disclosed facts.

Corporate Governance Expert

TL;DR: Filing is a standard Rule 144 sale notice with customary signatures and representations; governance disclosure is routine.

The form includes the required representations under Rule 144, including the filer’s certification that no material nonpublic information is known. The securities were identified as restricted stock from the issuer and the sale is to be broker-assisted. There is no disclosure here of any trading plan adoption date or other governance actions, and no prior three-month sales were reported, consistent with a routine insider liquidity event as documented.

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	1250	148827.75	69400000	08/18/2025	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	11/18/2021	Restricted Stock	Issuer			1250	11/18/2021	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

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

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 Form 144 filed for Lumentum Holdings (LITE) disclose?

The form discloses a proposed sale of 1,250 common shares through Morgan Stanley Smith Barney LLC on 08/18/2025 on NASDAQ, valued at $148,827.75.

When and how were the shares being sold acquired?

The shares were acquired on 11/18/2021 as restricted stock from the issuer, with payment dated 11/18/2021.

Does the filing report any sales in the past three months for the filer?

No. The filing states "Nothing to Report" for securities sold during the past three months.

What is the total number of Lumentum shares outstanding listed in the filing?

The filing lists 69,400,000 shares outstanding.

Who is the broker named in the Form 144 for the proposed sale?

The broker named is Morgan Stanley Smith Barney LLC Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY 10004.