Lumentum officer plans $431K Rule 144 stock sale

Officer Wupen Yuen filed a Rule 144 notice to sell 500 Lumentum common shares, disclosing additional equity awards and recent share sales.

Available on EDGAR 09/14/2026 - 04:08 PM EDT Accepted by SEC EDGAR 09/14/2026 - 04:07 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) received a Rule 144 notice from officer Wupen Yuen covering a proposed sale of 500 shares of common stock through Morgan Stanley Smith Barney, with an aggregate market value of $431,070 and 89,700,000 shares of common stock outstanding as of the notice. The filing also records potential sales of 181 performance shares and 319 restricted stock shares and lists multiple prior sales over the past three months, including several 500‑share trades and one 1,500‑share trade.

Key Figures

Shares proposed for sale: 500 shares Aggregate market value of proposed sale: $431,070 Shares outstanding: 89,700,000 shares +3 more

6 metrics

Shares proposed for sale 500 shares Common stock proposed to be sold under Rule 144

Aggregate market value of proposed sale $431,070 Value of 500 shares of common stock in proposed Rule 144 sale

Shares outstanding 89,700,000 shares Common stock outstanding for Lumentum Holdings Inc.

Performance shares referenced 181 shares Performance shares dated August 21, 2025

Restricted stock referenced 319 shares Restricted stock dated August 21, 2025

Largest single sale in past 3 months 1,500 shares Sale by Wupen Yuen on August 20, 2026

Key Terms

Rule 144, Performance Shares, Restricted Stock, Executive Financial Services

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.

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.

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.

Executive Financial Services financial

"Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza"

FAQ

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

What does the Form 144 filing for LITE by Wupen Yuen disclose?

The Form 144 filing discloses that officer Wupen Yuen plans to sell 500 shares of Lumentum common stock through Morgan Stanley, and it lists other equity awards and several prior sales of LITE shares over the preceding three months.

How many Lumentum (LITE) shares are proposed to be sold in this Form 144?

The notice covers a proposed sale of 500 shares of Lumentum Holdings Inc. common stock, with an indicated aggregate market value of $431,070 as of the planned sale date of September 14, 2026.

What recent Lumentum (LITE) share sales by Wupen Yuen are reported?

The filing lists multiple sales in the past three months, including 500 shares on several dates between August 21, 2026 and September 11, 2026, and 1,500 shares sold on August 20, 2026, each with its total sale value disclosed.

What is the reported Lumentum (LITE) share count in the Form 144?

The Form 144 states that Lumentum Holdings Inc. has 89,700,000 shares of common stock outstanding, which serves as the reference share count in connection with the proposed Rule 144 sale.

What additional Lumentum (LITE) equity awards are noted in this filing?

The filing notes potential sales of 181 performance shares and 319 restricted stock shares of Lumentum common stock, both dated August 21, 2025, identifying the issuer as the source of these awards.

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

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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	431070.00	89700000	09/14/2026	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			181	08/21/2025	Not Applicable
Common	08/21/2025	Restricted Stock	ISSUER			319	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	09/11/2026	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	09/14/2026
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)