Lumentum awards 11.6K shares to SVP Jae Kim

Q: What did Lumentum (LITE) disclose about Jae Kim’s latest equity award?

Lumentum disclosed that Jae Kim received a grant of 11,634 shares of Common Stock on August 17, 2026, tied to previously granted performance stock units whose performance conditions were certified by the Compensation Committee and that remain subject to time-based vesting through August 19, 2028.

Q: How many LITE shares does Jae Kim beneficially own after this Form 4 transaction?

After the reported grant, Jae Kim beneficially owned 42,551 shares of Lumentum Common Stock as of August 17, 2026. This figure is stated as being prior to other transactions that occurred on August 17, 2026, which are reported in a separate Form 4.

Q: Was Jae Kim’s August 17, 2026 LITE stock transaction a market purchase or sale?

No. The Form 4 reports a grant/award acquisition (transaction code A) of 11,634 shares of Lumentum Common Stock, with a reported price of $0.0000 per share, indicating a compensation-related award rather than an open-market purchase or sale.

Q: Does the Form 4 for Lumentum (LITE) mention a Rule 10b5-1 trading plan?

The filing indicates the Rule 10b5-1 checkbox as false, and the footnotes do not describe the transaction as being effected pursuant to a Rule 10b5-1 trading plan or other pre-arranged trading arrangement.

Lumentum Holdings Inc. (LITE) reported that officer Jae Kim, SVP and General Counsel, received a grant of 11,634 shares of Common Stock on August 17, 2026 as a grant/award acquisition.

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Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported that officer Jae Kim, SVP and General Counsel, received a grant of 11,634 shares of Common Stock on August 17, 2026 as a grant/award acquisition. The award relates to performance stock units whose performance conditions were certified and that remain subject to time-based vesting, with 100% of the shares scheduled to vest on August 19, 2028, contingent on continued service. Following this grant, Kim was reported as beneficially owning 42,551 shares as of August 17, 2026, before giving effect to other transactions that occurred that same day.

Insider Trade Summary

Grant/Award: 11,634 shares

Grant/Award 1 txn

Insider Kim Jae

Role SVP, GENERAL COUNSEL

Type	Security	Shares	Price	Value
Grant/Award	Common Stock ^{F1, F2}	11,634	$0.00	$0.00

Holdings After Transaction: Common Stock — 42,551 shares (Direct)

Footnotes (2)

F1. The Compensation Committee of the Board of Directors of the Issuer certified achievement of certain performance conditions with respect to performance stock units (PSUs) granted to the Reporting Person on August 19, 2025. The PSUs remain subject to time-based vesting; 100% of the shares shall vest on August 19, 2028, subject to the Reporting Person continuing to be a service provider of the Issuer through such date.
F2. The number of shares reported as beneficially owned following the reported transaction is as of August 17, 2026 and prior to other transactions that occurred August 17, 2026 as reported in a Form 4 filed by the Reporting Person on August 18, 2026.

Key Figures

Shares granted: 11,634 shares of Common Stock Shares beneficially owned after transaction: 42,551 shares Vesting date: August 19, 2028 +2 more

5 metrics

Shares granted 11,634 shares of Common Stock Grant/award acquisition to Jae Kim on August 17, 2026

Shares beneficially owned after transaction 42,551 shares Beneficial ownership for Jae Kim as of August 17, 2026, before other same-day transactions

Vesting date August 19, 2028 100% of shares from performance stock units scheduled to vest on this date, subject to continued service

PSU grant date August 19, 2025 Original grant date of the performance stock units whose performance conditions were certified

Reported transaction price per share $0.0000 per share Grant/award acquisition of 11,634 shares to Jae Kim

Key Terms

performance stock units (PSUs), time-based vesting, beneficially owned, grant/award acquisition

4 terms

performance stock units (PSUs) financial

"certified achievement of certain performance conditions with respect to performance stock units (PSUs)"

Performance stock units (PSUs) are a form of executive or employee pay that promise company shares only if pre-set performance goals are met over a defined period; think of them as a bonus paid in stock that arrives only when the company hits agreed targets. Investors watch PSUs because they affect the number of shares outstanding (dilution) and reveal how management’s pay is tied to financial or operational results, aligning incentives with shareholder outcomes.

time-based vesting financial

"The PSUs remain subject to time-based vesting; 100% of the shares shall vest"

Time-based vesting is a schedule that gives employees or contractors ownership of granted stock or options gradually as they remain with a company, like unlocking rewards in a loyalty program the longer you stick around. For investors, it matters because it affects future share supply, management incentives and staff retention — all of which can influence company performance and dilution of existing shareholders.

beneficially owned financial

"The number of shares reported as beneficially owned following the reported transaction"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

grant/award acquisition financial

"transaction_action: "grant/award acquisition""

FAQ

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

What did Lumentum (LITE) disclose about Jae Kim’s latest equity award?

Lumentum disclosed that Jae Kim received a grant of 11,634 shares of Common Stock on August 17, 2026, tied to previously granted performance stock units whose performance conditions were certified by the Compensation Committee and that remain subject to time-based vesting through August 19, 2028.

How many LITE shares does Jae Kim beneficially own after this Form 4 transaction?

After the reported grant, Jae Kim beneficially owned 42,551 shares of Lumentum Common Stock as of August 17, 2026. This figure is stated as being prior to other transactions that occurred on August 17, 2026, which are reported in a separate Form 4.

What are the vesting terms of Jae Kim’s performance stock units at Lumentum (LITE)?

The performance stock units granted on August 19, 2025 had their performance conditions certified, and the resulting shares remain subject to time-based vesting. 100% of the shares are scheduled to vest on August 19, 2028, subject to Jae Kim continuing as a service provider through that date.

Was Jae Kim’s August 17, 2026 LITE stock transaction a market purchase or sale?

No. The Form 4 reports a grant/award acquisition (transaction code A) of 11,634 shares of Lumentum Common Stock, with a reported price of $0.0000 per share, indicating a compensation-related award rather than an open-market purchase or sale.

Does the Form 4 for Lumentum (LITE) mention a Rule 10b5-1 trading plan?

The filing indicates the Rule 10b5-1 checkbox as false, and the footnotes do not describe the transaction as being effected pursuant to a Rule 10b5-1 trading plan or other pre-arranged trading arrangement.

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

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Available on EDGAR 08/28/2026 - 09:00 AM EDT Accepted by SEC EDGAR 08/27/2026 - 09:50 PM EDT

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).

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^*

Kim Jae

(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)
	SVP, GENERAL COUNSEL

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/17/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	08/17/2026		A⁽¹⁾		11,634	A	$0	42,551⁽²⁾	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The Compensation Committee of the Board of Directors of the Issuer certified achievement of certain performance conditions with respect to performance stock units (PSUs) granted to the Reporting Person on August 19, 2025. The PSUs remain subject to time-based vesting; 100% of the shares shall vest on August 19, 2028, subject to the Reporting Person continuing to be a service provider of the Issuer through such date.

2. The number of shares reported as beneficially owned following the reported transaction is as of August 17, 2026 and prior to other transactions that occurred August 17, 2026 as reported in a Form 4 filed by the Reporting Person on August 18, 2026.

	/s/ Jae Kim	08/27/2026
	** 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)

Source: View Original Filing on SEC EDGAR