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  4. [144] Lumentum Holdings Inc. SEC Filing

Lumentum (NASDAQ: LITE) officer plans new stock sale after $2.8M trades

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
144

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) received a Form 144 notice indicating that officer Jae Kim plans to sell up to 12,000 shares of common stock through Morgan Stanley Smith Barney LLC. The filing lists an aggregate value of 10231015.55 for these shares and identifies NASDAQ as the trading market.

The 12,000 shares comprise 8,211 performance shares dated 08/17/2026 and 3,789 restricted stock shares dated 08/23/2026. The notice also reports prior sales in the past three months totaling 3,270 shares for proceeds of 2818450.66.

Positive

  • None.

Negative

  • None.
Shares to be sold 12000 shares Total common shares listed for sale by Jae Kim under Form 144
Aggregate value of shares to be sold 10231015.55 Aggregate value associated with the 12,000 common shares
Performance shares to be sold 8211 shares Common stock, Performance Shares, dated 08/17/2026
Restricted stock to be sold 3789 shares Common stock, Restricted Stock, dated 08/23/2026
Shares sold 08/20/2026 1904 shares Common shares sold by Jae Kim on 08/20/2026
Proceeds 08/20/2026 1576169.28 Aggregate proceeds from 1,904 shares sold on 08/20/2026
Shares sold 08/18/2026 1366 shares Common shares sold by Jae Kim on 08/18/2026
Proceeds 08/18/2026 1242281.38 Aggregate proceeds from 1,366 shares sold on 08/18/2026
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 | 08/17/2026 | 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 | 08/23/2026 | 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"

FAQ

What does Lumentum Holdings Inc. (LITE) disclose in this Form 144 filing?
The filing states that officer Jae Kim intends to sell up to 12,000 shares of Lumentum Holdings Inc. common stock through Morgan Stanley Smith Barney LLC, with an aggregate value listed as 10231015.55, and identifies NASDAQ as the trading market.

How many LITE shares does Jae Kim plan to sell and in what forms?
Jae Kim plans to sell a total of 12,000 common shares of Lumentum Holdings Inc., consisting of 8,211 performance shares dated 08/17/2026 and 3,789 restricted stock shares dated 08/23/2026, as disclosed in the Form 144 notice.

What prior LITE share sales by Jae Kim are reported in the last three months?
The notice reports that Jae Kim sold 1,904 common shares on 08/20/2026 for 1576169.28 and 1,366 common shares on 08/18/2026 for 1242281.38, totaling 3,270 shares and aggregate proceeds of 2818450.66 over the past three months.

Which broker is named for the planned LITE share sales in this Form 144?
The planned sales of Lumentum Holdings Inc. common stock are listed under the broker Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004.

What is the purpose of the Form 144 filed for Lumentum Holdings Inc. (LITE)?
The Form 144 notice states the proposed sale of restricted or control securities of Lumentum Holdings Inc. by officer Jae Kim, including performance shares and restricted stock, as required under Rule 144 for such planned sales.

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144: Filer Information

144: Issuer Information

144: Securities Information



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


* 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

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR