Lumentum officer plans sale of 500 shares

Lumentum Holdings Inc. (LITE) received a Form 144 notice from officer Wupen Yuen covering a planned sale of 500 shares of common stock through Morgan Stanley Smith Barney on NASDAQ.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) received a Form 144 notice from officer Wupen Yuen covering a planned sale of 500 shares of common stock through Morgan Stanley Smith Barney on NASDAQ. The shares were originally acquired as restricted stock from the issuer on August 21, 2025.

The notice also lists multiple prior open-market sales by Wupen Yuen over the past three months, generally in blocks of 500 shares and one block of 1,500 shares, each with reported aggregate dollar amounts for those transactions.

Key Figures

Shares covered by current notice: 500 shares Planned sale aggregate amount: $479,635.00 Largest single recent sale: 1,500 shares for $1,241,730.00 +2 more

5 metrics

Shares covered by current notice 500 shares Planned sale of Lumentum common stock reported with expected date September 21, 2026

Planned sale aggregate amount $479,635.00 Approximate aggregate dollar amount for the 500 shares covered by the notice

Largest single recent sale 1,500 shares for $1,241,730.00 Sale of Lumentum common stock on August 20, 2026 reported in past three months table

Typical recent sale block size 500 shares Most individual sales listed from August 21, 2026 through September 18, 2026

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

Key Terms

Rule 144, Restricted Stock, Securities To Be Sold, Securities Sold During The Past 3 Months

4 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.

Restricted Stock financial

"Common | 08/21/2025 | 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 To Be Sold financial

"144: Securities To Be Sold"

Securities Sold During The Past 3 Months financial

"144: Securities Sold During The Past 3 Months"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 filing by LITE’s officer Wupen Yuen disclose?

It discloses that officer Wupen Yuen has filed a notice under Rule 144 to potentially sell 500 shares of Lumentum common stock through a broker on NASDAQ, and it lists several prior sales of common shares in recent months.

How many Lumentum (LITE) shares are covered by this Form 144 notice?

The notice covers a potential sale of 500 shares of Lumentum Holdings Inc. common stock, with the broker identified as Morgan Stanley Smith Barney LLC Executive Financial Services and an expected sale date of September 21, 2026.

What type of Lumentum (LITE) securities is Wupen Yuen planning to sell?

The planned sale relates to common stock that was acquired as Restricted Stock directly from the issuer, Lumentum Holdings Inc., with an acquisition date of August 21, 2025 listed in the filing.

What past three-month sales of Lumentum (LITE) stock does Wupen Yuen report?

The filing lists multiple sales of 500-share blocks of Lumentum common stock on various dates from August 21, 2026 through September 18, 2026, plus one sale of 1,500 shares on August 20, 2026, each with a reported aggregate dollar amount.

Who is the broker for the LITE shares covered by this Form 144?

The broker listed for the potential sale of 500 Lumentum common shares is Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, New York 10004.

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

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Available on EDGAR 09/21/2026 - 04:01 PM Accepted by SEC EDGAR 09/21/2026 - 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	479635.00	89700000	09/21/2026	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	Restricted Stock	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	09/18/2026	500	460000.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/17/2026	500	466725.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/16/2026	500	428415.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/15/2026	500	420755.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/14/2026	500	431070.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/11/2026	500	472205.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/10/2026	500	480720.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/09/2026	500	489270.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/08/2026	500	447995.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/04/2026	500	430000.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/03/2026	500	435005.00
WUPEN YUEN 1001 Ridder Park Drive San Jose CA 95131	Common	09/02/2026	500	432245.00
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	09/21/2026
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)