Lumentum awards 57K shares to business unit head

Lumentum Holdings Inc. (LITE) reported equity compensation activity for officer Wupen Yuen, President, Global Business Units.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported equity compensation activity for officer Wupen Yuen, President, Global Business Units. On August 17, 2026, he acquired 57,103 shares of Common Stock at $0.00 per share upon the Compensation Committee’s determination that performance conditions for previously granted performance stock units were met. On August 15 and 17, 2026, a total of 32,797 shares of Common Stock were withheld by the company to satisfy income tax withholding and remittance obligations related to the vesting of restricted stock units and performance stock units.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Wupen Yuen

Role PRESIDENT, GLOBAL BUS. UNITS

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F2	57,103	$0.00	$0.00
Tax Withholding	Common Stock F3	29,056	$968.90	$28.15M
Tax Withholding	Common Stock F1	3,741	$926.14	$3.46M

Holdings After Transaction: Common Stock — 105,794 shares (Direct)

Footnotes (3)

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. Represents the acquisition of shares upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units ("PSUs") granted to the Reporting Person on August 23, 2023.
3. F3. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of PSUs.

Key Figures

PSU-related shares acquired: 57,103 shares Shares withheld for RSU taxes: 3,741 shares Shares withheld for PSU taxes: 29,056 shares +2 more

5 metrics

PSU-related shares acquired 57,103 shares Common Stock acquired on August 17, 2026 upon satisfaction of PSU performance conditions

Shares withheld for RSU taxes 3,741 shares Withheld on August 15, 2026 at $926.14 per share for RSU tax obligations

Shares withheld for PSU taxes 29,056 shares Withheld on August 17, 2026 at $968.90 per share for PSU tax obligations

Total shares withheld for taxes 32,797 shares Aggregate of Code F tax-withholding dispositions reported in August 2026

PSU grant date August 23, 2023 Original grant date of performance stock units that resulted in 57,103 shares upon performance certification

Key Terms

performance stock units, restricted stock units, income tax withholding, Compensation Committee

4 terms

performance stock units financial

"performance stock units ("PSUs") granted to the Reporting Person on August 23, 2023"

Performance stock units are a type of company award that grants employees shares of stock only if certain performance goals are met. They motivate employees to work toward specific company achievements, aligning their interests with those of shareholders. For investors, they can influence a company's future stock supply and reflect management’s confidence in reaching key targets.

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 financial

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

Compensation Committee financial

"upon the determination of the Compensation Committee of the Board of Directors"

A compensation committee is a group within a company's leadership responsible for setting and reviewing how much top executives and employees are paid, including salaries, bonuses, and benefits. It matters to investors because fair and effective pay decisions can influence a company's performance, leadership motivation, and overall governance, helping ensure that the company’s management is aligned with shareholders’ interests.

FAQ

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

What insider equity award did Wupen Yuen receive from Lumentum Holdings Inc. (LITE)?

On August 17, 2026, Wupen Yuen received 57,103 shares of Lumentum Common Stock at $0.00 per share. The shares were issued after the Compensation Committee determined performance conditions were met for performance stock units granted on August 23, 2023.

Why did Lumentum (LITE) withhold shares from Wupen Yuen on August 15 and 17, 2026?

Lumentum withheld shares to cover income tax withholding on vesting equity. On August 15 and 17, 2026, a combined 32,797 shares of Common Stock were withheld in connection with vesting restricted stock units and performance stock units.

How many Lumentum (LITE) shares were withheld for taxes on August 15, 2026?

On August 15, 2026, 3,741 shares of Lumentum Common Stock were withheld at a price of $926.14 per share. The company states this withholding satisfied income tax and remittance obligations for vesting restricted stock units.

How many Lumentum (LITE) shares were withheld for taxes on August 17, 2026?

On August 17, 2026, 29,056 shares of Lumentum Common Stock were withheld at $968.90 per share. Lumentum explains these shares covered income tax withholding and remittance obligations related to the vesting of performance stock units.

Were Wupen Yuen’s August 2026 Lumentum (LITE) transactions under a Rule 10b5-1 plan?

The filing indicates the Rule 10b5-1 checkbox is not marked, and there is no footnote stating trades were under a 10b5-1 plan. The reported activity relates to equity vesting, performance determination, and associated tax withholding.

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

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Accepted by SEC EDGAR 08/18/2026 - 08:48 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).

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)
08/15/2026

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	08/15/2026		F(1)		3,741	D	$926.14	77,747	D
Common Stock	08/17/2026		A(2)		57,103	A	$0	134,850	D
Common Stock	08/17/2026		F(3)		29,056	D	$968.9	105,794	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. Represents the acquisition of shares upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units ("PSUs") granted to the Reporting Person on August 23, 2023.

3. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of PSUs.

	/s/ Jae Kim as Attorney-in-Fact	08/18/2026
	** 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)