Lumentum officer plans $451K stock sale

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) has a notice of proposed sale of restricted or control securities filed by officer Wupen Yuen under Rule 144. The filing covers 500 shares of common stock, identified as Performance Shares acquired from the issuer, with an aggregate market value of $450,520.00 as of 09/01/2026. Lumentum had 89,700,000 common shares outstanding as of that date. The broker listed is Morgan Stanley Smith Barney LLC Executive Financial Services.

Key Figures

Shares to be sold under Rule 144: 500 shares of common stock Aggregate market value of shares to be sold: $450,520.00 Shares outstanding: 89,700,000 shares +3 more

6 metrics

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

Aggregate market value of shares to be sold $450,520.00 Aggregate market value for 500 shares as of 09/01/2026

Shares outstanding 89,700,000 shares Lumentum common shares outstanding as of 09/01/2026

Sale on 08/20/2026 1,500 shares; $1,241,730.00 Common stock sold by Wupen Yuen during past 3 months

Sale on 08/31/2026 500 shares; $447,500.00 Common stock sold by Wupen Yuen during past 3 months

Earliest acquisition date of securities to be sold 08/21/2025 Performance Shares acquired from issuer

Key Terms

Rule 144, Performance Shares, Securities To Be Sold

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.

Securities To Be Sold financial

"144: Securities To Be Sold Common | 08/21/2025 | Performance Shares"

FAQ

What does the Form 144 filing for LITE disclose about planned stock sales?

The Form 144 for Lumentum Holdings Inc. (LITE) reports that officer Wupen Yuen plans to sell 500 shares of common stock, described as Performance Shares acquired from the issuer, under Rule 144.

What is the aggregate market value of the LITE shares covered by this Form 144?

The filing lists an aggregate market value of approximately $450,520.00 for the 500 shares of Lumentum common stock proposed to be sold, with information dated 09/01/2026.

How many LITE shares were outstanding when this Form 144 was filed?

The notice states that Lumentum Holdings Inc. had 89,700,000 shares of common stock outstanding as of 09/01/2026, providing context for the size of the proposed Rule 144 sale.

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

The filing reports multiple sales by Wupen Yuen from 08/20/2026 to 08/31/2026, including transactions of 500 shares on several days and 1,500 shares on 08/20/2026, with listed total dollar amounts for each date.

Which broker is involved in the planned Rule 144 sale of LITE shares?

The broker listed for the planned sale of Lumentum common stock is Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, New York, NY.

Who is the person for whose account LITE securities are to be sold?

The person for whose account the securities are to be sold is Wupen Yuen, identified in the filing as an officer of Lumentum Holdings Inc. The notice is made pursuant to Rule 144 requirements.

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Available on EDGAR 09/01/2026 - 04:04 PM Accepted by SEC EDGAR 09/01/2026 - 04:03 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	450520.00	89700000	09/01/2026	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	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	09/01/2026
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)