Lumentum (NASDAQ: LITE) officer sells shares, withholds stock for RSU taxes

Rhea-AI Filing Summary

Lumentum Holdings Inc. officer Vincent Retort reported an open-market sale of 3,183 shares of common stock at $953.9500 per share. A separate disposition of 3,299 shares at $970.7000 covered income tax withholding tied to restricted stock unit vesting. After these transactions, he directly owns 89,563 shares. The sale was executed under a pre-arranged Rule 10b5-1 trading plan.

Insider Trade Summary 10b5-1

Net Seller: 3,183 shares ($3,036,423)

Net Sell 2 txns

Insider Retort Vincent

Role SEE REMARKS

Sold 3,183 shs ($3.04M)

Type	Security	Shares	Price	Value
Sale	Common Stock	3,183	$953.95	$3.04M
Tax Withholding	Common Stock	3,299	$970.70	$3.20M

Holdings After Transaction: Common Stock — 89,563 shares (Direct, null)

Footnotes (1)

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. Includes 70 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 15, 2026. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 13, 2025.

Key Figures

Open-market shares sold: 3,183 shares Sale price per share: $953.9500 Tax-withheld shares: 3,299 shares +3 more

6 metrics

Open-market shares sold 3,183 shares Common Stock sale on 2026-05-18

Sale price per share $953.9500 Open-market sale on 2026-05-18

Tax-withheld shares 3,299 shares Disposition for RSU tax withholding on 2026-05-15

Tax-withholding price $970.7000 Shares withheld to satisfy income tax obligations

Shares owned after transactions 89,563 shares Direct Lumentum common stock ownership following reported trades

ESPP shares acquired 70 shares Acquired under Employee Stock Purchase Plan on 2026-05-15

Key Terms

Rule 10b5-1 trading plan, restricted stock units, Employee Stock Purchase Plan, income tax withholding

4 terms

Rule 10b5-1 trading plan regulatory

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

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.

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.

Employee Stock Purchase Plan financial

"Includes 70 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 15, 2026."

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

income tax withholding financial

"withheld by the Issuer to satisfy income tax withholding and remittance obligations"

Form 4 Insider Transactions: What Each Field Means →

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)
05/15/2026

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	05/15/2026		F(1)		3,299	D	$970.7	92,746(2)	D
Common Stock	05/18/2026		S(3)		3,183	D	$953.95	89,563	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. Includes 70 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 15, 2026.

3. 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, Module Business Unit R&D and Product Development

	/s/ Jae Kim as Attorney-in-Fact	05/19/2026
	** 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)

FAQ

What insider transactions did Lumentum (LITE) report for Vincent Retort?

Vincent Retort reported two transactions in Lumentum stock. He sold 3,183 shares of common stock in an open-market trade and disposed of 3,299 shares to satisfy tax withholding related to restricted stock unit vesting, while retaining a substantial remaining direct ownership position.

How many Lumentum (LITE) shares did Vincent Retort sell on the open market?

Vincent Retort sold 3,183 Lumentum common shares in an open-market transaction. The sale was executed at $953.9500 per share and was made pursuant to a pre-arranged Rule 10b5-1 trading plan adopted on November 13, 2025, indicating it was scheduled in advance.

Why were additional Lumentum (LITE) shares disposed of by Vincent Retort?

Additional shares were disposed of solely to cover tax obligations. Lumentum withheld 3,299 shares at $970.7000 per share to satisfy income tax withholding and remittance obligations triggered by the vesting of restricted stock units, rather than being sold as a discretionary market transaction.

How many Lumentum (LITE) shares does Vincent Retort own after these transactions?

After the reported transactions, Vincent Retort holds 89,563 Lumentum shares directly. This post-transaction holding shows that the reported sale and tax-related disposition represent only a small portion of his overall equity position in the company’s common stock.

Were Vincent Retort’s Lumentum (LITE) stock sales under a Rule 10b5-1 plan?

Yes, the reported Lumentum share sale was under a Rule 10b5-1 plan. Footnotes state the 3,183-share open-market sale was executed pursuant to a pre-arranged trading plan adopted by Retort on November 13, 2025, indicating the timing was scheduled in advance.

Did Vincent Retort acquire any Lumentum (LITE) shares through an employee plan?

Yes, he acquired shares through Lumentum’s Employee Stock Purchase Plan. Footnotes indicate his holdings include 70 shares purchased under the company’s employee stock purchase program on May 15, 2026, reflecting ongoing participation in Lumentum’s equity compensation arrangements.