Lumentum officer sells 1,500 shares under plan

Lumentum’s President, Global Business Units reported selling 1,500 LITE shares in early September 2026 under a pre-arranged Rule 10b5-1 trading plan.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) disclosed that Wupen Yuen, its President, Global Business Units, sold a total of 1,500 shares of common stock in three open-market transactions on September 2, 3, and 4, 2026 at per-share prices of $864.49, $870.01, and $860.00, respectively. These sales were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 19, 2026.

Insider Trade Summary 10b5-1

Net Seller: 1,500 shares

Net Sell 3 txns

Insider Wupen Yuen

Role PRESIDENT, GLOBAL BUS. UNITS

Sold 1,500 shs ($1.30M)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	500	$860.00	$430K
Sale	Common Stock F1	500	$870.01	$435K
Sale	Common Stock F1	500	$864.49	$432K

Holdings After Transaction: Common Stock — 116,127 shares (Direct)

Footnotes (1)

1. F1. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.

Key Figures

Shares sold September 2, 2026: 500 shares at $864.49 per share Shares sold September 3, 2026: 500 shares at $870.01 per share Shares sold September 4, 2026: 500 shares at $860.00 per share +2 more

5 metrics

Shares sold September 2, 2026 500 shares at $864.49 per share Open-market sale of Lumentum common stock by Wupen Yuen

Shares sold September 3, 2026 500 shares at $870.01 per share Open-market sale of Lumentum common stock by Wupen Yuen

Shares sold September 4, 2026 500 shares at $860.00 per share Open-market sale of Lumentum common stock by Wupen Yuen

Total shares sold 1,500 shares Aggregate Lumentum common shares sold across three transactions

Rule 10b5-1 trading plan adoption date May 19, 2026 Date the reporting person adopted the trading plan covering these sales

Key Terms

Rule 10b5-1 trading plan, open market, Reporting Person

3 terms

Rule 10b5-1 trading plan regulatory

"These shares were sold pursuant to a Rule 10b5-1 trading plan adopted"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

open market market

"Sale in open market or private transaction"

An open market is a system where buying and selling of goods, services, or financial assets happen freely without restrictions or special controls. For investors, it means they can trade assets easily and quickly, which helps determine fair prices based on supply and demand. This environment encourages transparency and competition, making it easier to buy or sell with confidence.

Reporting Person regulatory

"These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person"

FAQ

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

What insider stock activity did LITE report in this Form 4?

The filing reports that Wupen Yuen, President, Global Business Units of Lumentum Holdings Inc., sold 1,500 shares of LITE common stock in three open-market transactions on September 2, 3, and 4, 2026.

How many LITE shares did Wupen Yuen sell and on which dates?

Wupen Yuen sold 1,500 shares of LITE common stock in total: 500 shares on September 2, 2026, 500 shares on September 3, 2026, and 500 shares on September 4, 2026.

At what prices were the LITE shares sold in this Form 4?

The reported sales were at per-share prices of $864.49 on September 2, 2026, $870.01 on September 3, 2026, and $860.00 on September 4, 2026, for Lumentum Holdings Inc. common stock.

Were the LITE insider sales made under a Rule 10b5-1 plan?

Yes. The footnote states that the shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 19, 2026, indicating the trades were pre-arranged under that plan.

Does the Form 4 state Wupen Yuen’s LITE holdings after these sales?

The non-derivative transaction entries do not report a post-transaction share balance for these sales, so this Form 4 does not state the number of LITE shares held by Wupen Yuen after the transactions.

What is Wupen Yuen’s role at Lumentum Holdings Inc. (LITE)?

The Form 4 identifies Wupen Yuen as an officer of Lumentum Holdings Inc. with the title “PRESIDENT, GLOBAL BUS. UNITS”, indicating responsibility for Lumentum’s global business units.

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

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Available on EDGAR 09/04/2026 - 04:17 PM EDT Accepted by SEC EDGAR 09/04/2026 - 04:16 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Wupen Yuen

(Last) (First) (Middle)

C/O LUMENTUM HOLDINGS INC.

1001 RIDDER PARK DRIVE

(Street)

SAN JOSE CALIFORNIA 95131

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Lumentum Holdings Inc. [ LITE ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	PRESIDENT, GLOBAL BUS. UNITS

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/02/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/02/2026		S(1)		500	D	$864.49	117,127	D
Common Stock	09/03/2026		S(1)		500	D	$870.01	116,627	D
Common Stock	09/04/2026		S(1)		500	D	$860	116,127	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.

	/s/ Jae Kim as Attorney-in-Fact	09/04/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)