[144] Lumentum Holdings Inc. SEC Filing

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) Form 144 notifies the market of a proposed sale of 3,281 common shares through Morgan Stanley Smith Barney on 08/27/2025 on NASDAQ with an aggregate market value of $409,665.66. The filer reports these shares were acquired as restricted stock on 08/23/2024 from the issuer and payment was recorded on the same date.

The filing also lists multiple recent sales by the same person, totaling several thousand shares between 07/21/2025 and 08/26/2025, with individual proceeds shown for each trade. Outstanding shares are reported as 69,900,000, indicating the disclosed trades represent a very small fraction of the companys float.

Positive

• Compliance disclosure filed under Rule 144 detailing acquisition and planned sale dates and amounts

Negative

• Insider sales recorded across multiple dates in July and August 2025, showing ongoing dispositions by the same person

Insights

Securities/Financial Analyst

TL;DR: Routine Rule 144 disclosure for a small insider sale; immaterial to capitalization.

The filing documents a proposed sale of 3,281 shares valued at $409,665.66 and shows restricted shares acquired 08/23/2024. Recent sales by the same individual from 07/21/2025 to 08/26/2025 are itemized with gross proceeds. Given the issuers reported outstanding shares of 69.9 million, the transactions are immaterial to total equity and unlikely to affect market valuation. The filing serves primarily as compliance with resale rules rather than signaling material corporate change.

Corporate Governance Expert

TL;DR: Proper insider reporting observed; multiple small sales disclosed but no governance red flags in this notice.

The filer represents adherence to Rule 144 disclosure requirements by reporting acquisition details and planned and recent dispositions. The shares to be sold were granted as restricted stock and were acquired from the issuer on 08/23/2024. Multiple recent sale entries appear in the past month, but amounts are modest relative to total outstanding shares. No statements in this notice indicate undisclosed material information or governance concerns; the signature attestation is present.

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	3281	409665.66	69900000	08/27/2025	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	08/23/2024	Restricted Stock	ISSUER			3281	08/23/2024	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	08/26/2025	3282	408247.98
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/25/2025	3282	391378.50
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/19/2025	109	12818.40
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/18/2025	109	12693.05
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/15/2025	109	12383.49
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/06/2025	241	26109.94
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/05/2025	241	26926.93
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	08/04/2025	241	26049.69
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	07/23/2025	265	26478.80
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	07/22/2025	264	27226.32
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	07/21/2025	264	26986.08

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 Lumentum (LITE) Form 144 disclose?

The filing discloses a proposed sale of 3,281 common shares valued at $409,665.66, to occur on 08/27/2025, and lists recent sales by the same person between 07/21/2025 and 08/26/2025.

How were the 3,281 shares acquired according to the filing?

The shares were acquired as restricted stock from the issuer on 08/23/2024, with payment/date of payment recorded as 08/23/2024.

Through which broker will the planned sale be executed?

The planned sale is scheduled through Morgan Stanley Smith Barney LLC, Executive Financial Services, New York on NASDAQ.

How material is the sale relative to outstanding shares?

The filing reports 69,900,000 shares outstanding; the proposed sale of 3,281 shares represents a negligible percentage of outstanding equity.

Who is the seller listed in recent transactions?

Recent sales in the filing are attributed to Wupen Yuen of San Jose, CA, with multiple dispositions and gross proceeds detailed for each date.