Lumentum officer plans $447K stock sale

Lumentum Holdings Inc. (LITE) is the issuer for a notice filed by officer Wupen Yuen to sell common stock under Rule 144.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) is the issuer for a notice filed by officer Wupen Yuen to sell common stock under Rule 144. The filing lists 500 shares of common stock to be sold through Morgan Stanley Smith Barney, with an aggregate dollar amount of $447,500.00 and trading on NASDAQ. It also identifies underlying equity awards, including 356 performance shares and 144 restricted stock shares, both dated August 2025. Over the prior three months, Yuen reported multiple open-market sales totaling 4,500 shares of Lumentum common stock across seven transactions in August 2026.

Key Figures

Shares to be sold: 500 shares of common stock Aggregate dollar amount for planned sale: $447,500.00 Performance shares: 356 shares +4 more

7 metrics

Shares to be sold 500 shares of common stock Planned sale under Rule 144 through Morgan Stanley Smith Barney

Aggregate dollar amount for planned sale $447,500.00 Associated with the 500-share planned sale of Lumentum common stock

Performance shares 356 shares Performance Shares issued by Lumentum dated 08/21/2025

Restricted stock 144 shares Restricted Stock issued by Lumentum dated 08/15/2025

Shares sold in past 3 months 4,500 shares Seven sales of Lumentum common stock in August 2026 by Wupen Yuen

Largest single recent sale amount $1,241,730.00 Sale of 1,500 shares on 08/20/2026

Example recent sale amount $470,475.00 Sale of 500 shares on 08/28/2026

Key Terms

Rule 144, Performance Shares, Restricted Stock, Form 144

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.

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.

Restricted Stock financial

"Common | 08/15/2025 | 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.

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

FAQ

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

What does the Form 144 filing for LITE by Wupen Yuen disclose?

It discloses that officer Wupen Yuen plans to sell 500 shares of Lumentum Holdings Inc. (LITE) common stock under Rule 144 through Morgan Stanley Smith Barney, and provides details on related equity awards and shares sold in the prior three months.

How many Lumentum (LITE) shares does Wupen Yuen intend to sell under this Form 144?

The notice states an intention to sell 500 shares of common stock of Lumentum Holdings Inc. (LITE) through Morgan Stanley Smith Barney, as disclosed in the securities information section.

What aggregate dollar amount is associated with the planned LITE share sale?

The securities information section lists an aggregate dollar amount of $447,500.00 in connection with the planned sale of 500 Lumentum (LITE) common shares through Morgan Stanley Smith Barney.

What Lumentum (LITE) equity awards are referenced in Wupen Yuen’s Form 144?

The filing references 356 performance shares dated August 21, 2025 and 144 restricted stock shares dated August 15, 2025, both issued by Lumentum Holdings Inc. and described as “Not Applicable” for certain additional terms.

How many Lumentum (LITE) shares has Wupen Yuen sold in the past three months?

The past three months section reports seven sales in August 2026 totaling 4,500 shares of Lumentum (LITE) common stock, with individual transactions ranging from 500 to 1,500 shares each.

On which market are the Lumentum (LITE) shares in this Form 144 traded?

The securities information identifies the Lumentum Holdings Inc. common stock as traded on NASDAQ, in connection with the 500-share planned sale disclosed in the Form 144 notice.

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

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Available on EDGAR 08/31/2026 - 04:05 PM EDT Accepted by SEC EDGAR 08/31/2026 - 04:04 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	447500.00	89700000	08/31/2026	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			356	08/21/2025	Not Applicable
Common	08/15/2025	Restricted Stock	Issuer			144	08/15/2025	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	08/28/2026	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	08/31/2026
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)