[144] Lumentum Holdings Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Lumentum Holdings Inc. (LITE) reports a proposed sale of 3,282 common shares through Morgan Stanley Smith Barney with an aggregate market value of $408,247.98, approximately to be sold on 08/26/2025 on NASDAQ. The shares were acquired on 08/23/2024 as restricted stock from the issuer and the filing lists prior sales by the same beneficial owner totaling multiple small blocks between 07/21/2025 and 08/25/2025. The form includes the seller's representation that they do not possess undisclosed material adverse information and notes the broker contact details for the transaction.

Positive

• Transaction transparency: filing provides required details including broker, share count, acquisition date, and recent sales history
• Securities acquired from issuer as restricted stock on 08/23/2024, indicating traceable chain of title

Negative

• Concentration of recent sales: multiple small sales reported in July–August 2025 which may warrant attention to filing frequency

Insights

Securities Analyst

TL;DR: Insider plans to sell a modest block of LITE shares via a broker, following recent small disposals; transaction appears routine.

The filing discloses a proposed sale of 3,282 common shares valued at $408,247.98 to be executed on 08/26/2025 through Morgan Stanley Smith Barney. The shares were issued as restricted stock on 08/23/2024 and are now being offered for sale, consistent with vesting or liquidity events. The filer has executed multiple smaller sales in the prior month, indicating a pattern of staged disposals rather than a single large exit. From an investor-materiality perspective this size is small relative to typical market caps for issuers like Lumentum, suggesting limited market impact. The representation about absence of undisclosed material information is standard for Rule 144 notices.

Corporate Governance Expert

TL;DR: Disclosure complies with Rule 144 requirements and includes required representations; no governance red flags in form content.

The submission provides the required transaction details: class, broker, number of shares, acquisition date and nature (restricted stock), and recent sales history for the filer. The signer affirms no undisclosed material adverse information, and the form identifies the broker and approximate sale date. There is no mention of any unusual trading plan dates or conflicting instructions in the filing text provided. As presented, this is a routine insider sale notification under Rule 144 without governance disclosures that would indicate regulatory or control issues.

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	3282	408247.98	69900000	08/26/2025	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			3282	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	08/25/2025	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 the Form 144 for LITE report?

The Form 144 reports a proposed sale of 3,282 common shares of Lumentum (LITE) with aggregate market value $408,247.98, approximately to be sold on 08/26/2025 via Morgan Stanley Smith Barney.

When and how were the shares being sold acquired?

The shares were acquired on 08/23/2024 as restricted stock from the issuer.

Has the filer sold other LITE shares recently?

Yes. The filing lists multiple prior sales by the same person between 07/21/2025 and 08/25/2025 totaling several small blocks including a sale of 3,282 shares on 08/25/2025.

Which broker is handling the proposed sale?

Morgan Stanley Smith Barney LLC Executive Financial Services, 1 New York Plaza, New York, NY.

Does the filer state they have undisclosed material information?

The filer represents by signing the notice that they do not know any material adverse information about the issuer that has not been publicly disclosed.