Lumentum officer plans $428K stock sale

Officer Wupen Yuen filed a Rule 144 notice for a 500‑share planned sale of Lumentum common stock, with prior sales detailed for the past three months.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) has a Form 144 notice from officer Wupen Yuen covering a planned sale of 500 shares of common stock through Morgan Stanley Smith Barney LLC Executive Financial Services on September 16, 2026 under Rule 144. The notice reports an aggregate market value for the planned sale of $428,415 and cites 89,700,000 shares outstanding of Lumentum common stock. It also lists multiple prior open-market sales of Lumentum common stock by the same person over the preceding three months.

Key Figures

Shares to be sold: 500 shares Aggregate market value of planned sale: $428,415 Shares outstanding: 89,700,000 shares +2 more

5 metrics

Shares to be sold 500 shares Planned Rule 144 sale reported for September 16, 2026

Aggregate market value of planned sale $428,415 For 500 shares of Lumentum common stock in the new notice

Shares outstanding 89,700,000 shares Lumentum common stock shares outstanding cited in the Form 144

Largest single sale in past 3 months 1,500 shares Sale by Wupen Yuen on August 20, 2026 with gross proceeds of $1,241,730.00

Example prior sale size 500 shares Repeated sale size for many transactions between August 21, 2026 and September 15, 2026

Key Terms

Rule 144, restricted stock, aggregate market value, gross proceeds

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.

aggregate market value financial

"Common | Morgan Stanley Smith Barney LLC ... | 500 | 428415.00"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

gross proceeds financial

"Common | 09/15/2026 | 500 | 420755.00"

The total amount of cash a company receives from a financing event or sale before any fees, expenses, taxes or deductions are taken out. Investors watch gross proceeds because it shows the raw scale of new capital being raised—think of it as the paycheck amount before withholdings—which helps assess how much funding is available for operations, growth, debt payoff or how much shareholder dilution might occur once costs are removed.

FAQ

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

What does LITE’s latest Form 144 filing disclose?

It discloses that officer Wupen Yuen filed a Rule 144 notice to potentially sell 500 shares of Lumentum common stock on September 16, 2026, with an aggregate market value listed at $428,415, and notes total common shares outstanding of 89,700,000.

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

The notice covers a proposed sale of 500 shares of Lumentum common stock. These are described as restricted stock to be sold under Rule 144 through Morgan Stanley Smith Barney LLC Executive Financial Services.

What market value and share count are reported for LITE in the Form 144?

The Form 144 states an aggregate market value of $428,415 for the 500 shares covered by the notice and reports that there are 89,700,000 shares outstanding of Lumentum common stock.

Which broker is named for the planned LITE share sale under Rule 144?

The planned sale of Lumentum common stock is listed through Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004.

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

The filing lists multiple prior Lumentum common stock sales by Wupen Yuen between August 20, 2026 and September 15, 2026, including several 500‑share transactions and one 1,500‑share transaction, each with stated gross proceeds amounts.

On which exchange is Lumentum’s common stock listed in this Form 144?

The Form 144 identifies the trading market as NASDAQ for Lumentum Holdings Inc. common stock.

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

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Available on EDGAR 09/16/2026 - 04:40 PM Accepted by SEC EDGAR 09/16/2026 - 04:40 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	428415.00	89700000	09/16/2026	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	09/15/2026	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	09/16/2026
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)