Lumentum officer plans 500-share stock sale

Officer Wupen Yuen filed a Form 144 for a planned 500‑share sale of Lumentum common stock and disclosed multiple recent open‑market sales.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) received a Form 144 notice from officer Wupen Yuen covering potential sales of common stock under Rule 144. The filing lists a planned sale of 500 shares of common stock through Morgan Stanley Smith Barney LLC on NASDAQ.

The notice also reports multiple prior open-market sales by Wupen Yuen over the preceding three months in blocks of 500 shares, including a sale of 1,500 shares on August 20, 2026, and various transactions with gross proceeds generally in the $412,120–$1,241,730 range per transaction.

Key Figures

Shares to be sold: 500 shares Security type: Common Stock (Restricted Stock) Largest single recent sale: 1,500 shares +4 more

7 metrics

Shares to be sold 500 shares Planned sale of Lumentum common stock under the Form 144 notice

Security type Common Stock (Restricted Stock) Class of Lumentum securities covered by the Form 144

Largest single recent sale 1,500 shares Sale by Wupen Yuen on August 20, 2026

Gross proceeds for August 20, 2026 sale $1,241,730.00 Transaction value for 1,500-share sale on August 20, 2026

Representative recent sale size 500 shares Size of each individual sale on multiple dates between August 21, 2026 and September 14, 2026

Example gross proceeds $489,270.00 Gross proceeds for 500-share sale on September 9, 2026

Form 144 signature date September 15, 2026 Date the notice was signed by Wupen Yuen

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 LITE’s Form 144 filed by Wupen Yuen disclose?

It discloses that officer Wupen Yuen filed a Form 144 covering the potential sale of 500 shares of Lumentum common stock through Morgan Stanley Smith Barney LLC on NASDAQ, and lists multiple prior sales of Lumentum common stock during the preceding three months.

How many Lumentum (LITE) shares are covered by the new Form 144?

The Form 144 covers a proposed sale of 500 shares of Lumentum Holdings Inc. common stock. The securities are identified as Restricted Stock to be sold for the account of officer Wupen Yuen under Rule 144.

Which broker is named in the LITE Form 144 filing?

The filing names Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004, as the broker for the planned sale of 500 shares of Lumentum common stock on NASDAQ.

What prior Lumentum (LITE) stock sales by Wupen Yuen are reported?

The notice lists multiple sales of 500-share blocks of Lumentum common stock and one sale of 1,500 shares on August 20, 2026, each with stated gross proceeds amounts, over the period from August 20, 2026 through September 14, 2026.

When is the Lumentum (LITE) Form 144 signed and what type of security is listed?

The Form 144 is signed by /s/ Wupen Yuen on September 15, 2026. It covers common stock of Lumentum Holdings Inc., with the new sale described as Restricted Stock to be sold for the issuer’s officer’s account.

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

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Available on EDGAR 09/15/2026 - 04:02 PM Accepted by SEC EDGAR 09/15/2026 - 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	420755.00	89700000	09/15/2026	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	09/14/2026	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	09/15/2026
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)