Lumentum EVP sells 2,483 shares under 10b5-1 plan

Lumentum Holdings Inc. (LITE) reported that Executive Vice President, Global Reliability & Quality Vincent Retort disposed of common stock in several transactions.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported that Executive Vice President, Global Reliability & Quality Vincent Retort disposed of common stock in several transactions. On August 19, 2026 and August 21, 2026, a total of 10,083 shares of common stock were withheld at prices of $827.60 and $866.71 per share, respectively, to satisfy income tax withholding and remittance obligations arising from the vesting of restricted stock units. On August 20, 2026, Retort sold 2,483 shares of common stock at $827.82 per share in an open-market or private sale. The company indicates these transactions were effected pursuant to a Rule 10b5-1 trading plan, and the 2,483-share sale was executed under a plan adopted on November 13, 2025.

Insider Trade Summary 10b5-1

Net Seller: 2,483 shares

Net Sell 3 txns

Insider Retort Vincent

Role SEE REMARKS

Sold 2,483 shs ($2.06M)

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	7,509	$866.71	$6.51M
Sale	Common Stock F2	2,483	$827.82	$2.06M
Tax Withholding	Common Stock F1	2,574	$827.60	$2.13M

Holdings After Transaction: Common Stock — 101,929 shares (Direct)

Footnotes (2)

1. F1. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units.
2. F2. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 13, 2025.

Key Figures

Shares sold: 2,483 shares of Common Stock Sale price per share: $827.82 per share Tax-withholding shares: 2,574 shares of Common Stock +3 more

6 metrics

Shares sold 2,483 shares of Common Stock Sale transaction on August 20, 2026

Sale price per share $827.82 per share Price for 2,483-share sale on August 20, 2026

Tax-withholding shares 2,574 shares of Common Stock Withheld on August 19, 2026 for income tax on RSU vesting

Tax-withholding shares 7,509 shares of Common Stock Withheld on August 21, 2026 for income tax on RSU vesting

Tax-withholding prices $827.60 and $866.71 per share Per-share prices for August 19 and 21, 2026 withholding transactions

Rule 10b5-1 plan adoption date November 13, 2025 Adoption date for plan covering the 2,483-share sale

Key Terms

restricted stock units, income tax withholding and remittance obligations, Rule 10b5-1 trading plan

3 terms

restricted stock units financial

"in connection with the vesting of restricted stock units."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

income tax withholding and remittance obligations financial

"to satisfy income tax withholding and remittance obligations in connection"

Rule 10b5-1 trading plan regulatory

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

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.

FAQ

What insider transactions did LITE executive Vincent Retort report?

Vincent Retort reported three transactions in Lumentum (LITE) common stock: 10,083 shares were withheld on August 19 and 21, 2026 to cover income tax on restricted stock unit vesting, and 2,483 shares were sold on August 20, 2026 at $827.82 per share.

Were the LITE stock sales by Vincent Retort discretionary or under a plan?

The filing states the transactions were under a Rule 10b5-1 trading plan. A footnote specifies the 2,483-share sale on August 20, 2026 was executed pursuant to a Rule 10b5-1 plan adopted by Vincent Retort on November 13, 2025.

Why were 10,083 LITE shares disposed of in the Form 4 for Vincent Retort?

The 10,083 shares disposed of on August 19 and 21, 2026 represent stock withheld by Lumentum to satisfy income tax withholding and remittance obligations arising from the vesting of restricted stock units held by Vincent Retort.

What were the prices of Vincent Retort’s recent LITE stock transactions?

The tax-withholding dispositions occurred at $827.60 and $866.71 per share on August 19 and 21, 2026, respectively. The open-market or private sale of 2,483 shares on August 20, 2026 was executed at $827.82 per share.

How many LITE shares did Vincent Retort sell versus shares withheld for tax?

Vincent Retort sold 2,483 shares of Lumentum common stock on August 20, 2026. Separately, 10,083 shares were withheld by the issuer on August 19 and 21, 2026 to cover income tax obligations linked to restricted stock unit vesting.

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

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Available on EDGAR 08/21/2026 - 08:42 PM Accepted by SEC EDGAR 08/21/2026 - 08:42 PM 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^*

Retort Vincent

(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)
	SEE REMARKS

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2026

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	08/19/2026		F(1)		2,574	D	$827.6	111,921	D
Common Stock	08/20/2026		S(2)		2,483	D	$827.82	109,438	D
Common Stock	08/21/2026		F(1)		7,509	D	$866.71	101,929	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. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units.

2. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 13, 2025.

Remarks:

Officer title: Executive Vice President, Global Reliability & Quality

	/s/ Jae Kim as Attorney-in-Fact	08/21/2026
	** 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)