Lumentum holder plans $412K sale of 500 shares

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reports that Wupen Yuen has filed a notice under Rule 144 to sell 500 shares of Lumentum common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of $412,120.00 and an approximate sale date of 08/24/2026 on NASDAQ.

The shares to be sold were acquired from the issuer upon the vesting of restricted stock and Performance Shares during the period from 08/07/2025 through 08/15/2025, including an acquisition dated 08/07/2025. Disclosures also list prior sales in the last three months of 500 shares for $449,075.00 on 08/21/2026 and 1,500 shares for $1,241,730.00 on 08/20/2026.

Key Figures

Shares to be sold: 500 shares Aggregate market value of shares to be sold: $412,120.00 Shares outstanding: 89,700,000 shares +3 more

6 metrics

Shares to be sold 500 shares Common stock proposed for sale under Rule 144

Aggregate market value of shares to be sold $412,120.00 Planned Rule 144 sale of 500 Lumentum common shares

Shares outstanding 89,700,000 shares Lumentum common stock shares outstanding referenced in the notice

Acquisition date of shares 08/07/2025 Performance and Restricted Stock acquired from issuer

Past sale on 08/21/2026 500 shares for $449,075.00 Common stock sold by Wupen Yuen in prior 3 months

Past sale on 08/20/2026 1,500 shares for $1,241,730.00 Common stock sold by Wupen Yuen in prior 3 months

Key Terms

Rule 144, restricted stock, Performance Shares, aggregate market value

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

"The securities to be sold were acquired upon the vesting of restricted stock"

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.

Performance Shares financial

"acquired upon the vesting of restricted stock and Performance Shares"

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.

aggregate market value financial

"Common | ... | 500 | 412120.00 | 89700000 | 08/24/2026"

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.

FAQ

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

How many LITE shares is Wupen Yuen planning to sell under Rule 144?

The notice reports a planned sale of 500 shares of Lumentum Holdings Inc. (LITE) common stock, with an aggregate market value of $412,120.00, to be executed through Morgan Stanley Smith Barney LLC around 08/24/2026 on NASDAQ.

What prior LITE stock sales by Wupen Yuen are disclosed in this Form 144?

Disclosed prior sales in the past three months are 500 shares of Lumentum common stock sold on 08/21/2026 for $449,075.00 and 1,500 shares sold on 08/20/2026 for $1,241,730.00.

How were the LITE shares being sold by Wupen Yuen acquired?

The securities to be sold were acquired from Lumentum upon the vesting of restricted stock and Performance Shares during the period from 08/07/2025 through 08/15/2025, including an acquisition dated 08/07/2025 described as Performance and Restricted Stock.

What is the reported number of LITE shares outstanding in this notice?

The notice lists 89,700,000 shares of Lumentum common stock as outstanding in connection with the Rule 144 sale disclosure; this figure provides capital-structure context and is not the amount being sold.

Which broker is handling Wupen Yuen’s proposed sale of LITE shares?

The proposed sale of 500 shares of Lumentum common stock is to be handled by Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004.

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

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Available on EDGAR 08/24/2026 - 04:14 PM EDT Accepted by SEC EDGAR 08/24/2026 - 04:14 PM EDT 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	412120.00	89700000	08/24/2026	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	08/07/2025	Performance and Restricted Stock	ISSUER			500	08/07/2025	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	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	The securities to be sold were acquired upon the vesting of restricted stock and Performance Shares during the period of 08/07/2025 through 08/15/2025.
Date of Notice	08/24/2026
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)