Lumentum officer plans Rule 144 sale of 500 shares

Officer Wupen Yuen has filed a Rule 144 notice to resell Lumentum Holdings Inc. common stock, following multiple recent block sales.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) has a Form 144 notice filed for planned resales of common stock under Rule 144 by officer Wupen Yuen. The notice covers 500 shares of common stock acquired as Performance Shares from the issuer on August 21, 2025.

The filing also lists a pattern of recent open-market sales by Wupen Yuen over the prior three months, in blocks ranging from 500 to 1,500 shares of Lumentum common stock per trading day.

Key Figures

Shares to be sold under Rule 144: 500 shares Recent single-day sale amount: 430,000.00 Recent larger block sold: 1,500 shares +2 more

5 metrics

Shares to be sold under Rule 144 500 shares Common stock to be resold by Wupen Yuen acquired as Performance Shares on August 21, 2025

Recent single-day sale amount 430,000.00 Aggregate amount for sale of 500 Lumentum common shares on September 4, 2026

Recent larger block sold 1,500 shares Block of Lumentum common stock sold on August 20, 2026 by Wupen Yuen

Amount for 1,500‑share sale 1,241,730.00 Aggregate amount reported for 1,500 shares sold on August 20, 2026

Example sale amount 470,475.00 Aggregate amount for 500 shares of Lumentum common stock sold on August 28, 2026

Key Terms

Rule 144, Performance Shares, Executive Financial Services

3 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.

Executive Financial Services financial

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

FAQ

What does the Form 144 filing disclose for LITE (Lumentum Holdings Inc.)?

It discloses that officer Wupen Yuen has filed a notice under Rule 144 to resell 500 shares of Lumentum common stock that were acquired as Performance Shares from the issuer on August 21, 2025.

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

The notice covers 500 shares of Lumentum Holdings Inc. common stock to be sold under Rule 144. These shares are identified as Performance Shares originally issued by the company on August 21, 2025.

What recent LITE share sales by Wupen Yuen are reported in the past three months?

The filing lists multiple sales of Lumentum common stock by Wupen Yuen, including blocks of 500 shares on several dates from August 20, 2026 through September 4, 2026, and one larger sale of 1,500 shares on August 20, 2026.

What dollar amounts are associated with Wupen Yuen’s recent LITE stock sales?

Reported aggregate sale amounts include 430,000.00 on September 4, 2026, 435,005.00 on September 3, 2026, 432,245.00 on September 2, 2026, and 1,241,730.00 for a 1,500‑share sale on August 20, 2026.

Through which broker are the LITE shares in the Form 144 held or processed?

The Form 144 lists Morgan Stanley Smith Barney LLC – Executive Financial Services, located at 1 New York Plaza, New York, as the broker associated with the 500 shares of Lumentum common stock referenced in the filing.

On which market is the LITE stock involved in this Form 144 listed?

The common stock referenced in the Form 144 for Lumentum Holdings Inc. is listed as trading on the NASDAQ market.

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

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Available on EDGAR 09/08/2026 - 04:09 PM Accepted by SEC EDGAR 09/08/2026 - 04:08 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	447995.00	89700000	09/08/2026	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			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	09/04/2026	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	09/08/2026
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)