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  4. [Form 4] Lumentum Holdings Inc. Insider Trading Activity

Lumentum (LITE) director logs RSU share grants and tax withholding events in Form 4

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Lumentum Holdings Inc. director Isaac Hosojiro Harris reported routine equity compensation activity involving restricted stock units (RSUs) and related tax withholding. On March 31, 2026, he received 374 shares of Common Stock as a fully vested RSU award and had 125 shares withheld by the issuer to cover income tax obligations tied to RSU vesting.

On April 30, 2026, he received an additional 320 RSU-related shares and had 145 shares withheld for taxes. On May 29, 2026, he received 258 RSU-related shares and had 125 shares withheld for taxes. Following the May 29 activity, he beneficially owned 13,082 shares of Common Stock as of that date, before a separate 4,000-share stock sale reported in a different Form 4 filed on June 1, 2026.

Positive

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Insider Harris Isaac Hosojiro
Role null
Type Security Shares Price Value
Grant/Award Common Stock 258 $0.00 --
Tax Withholding Common Stock 125 $854.96 $107K
Grant/Award Common Stock 320 $0.00 --
Tax Withholding Common Stock 145 $902.32 $131K
Grant/Award Common Stock 374 $0.00 --
Tax Withholding Common Stock 125 $702.76 $88K
Holdings After Transaction: Common Stock — 13,082 shares (Direct, null)
Footnotes (1)
  1. These securities are fully vested restricted stock units (RSUs). Each RSU represents a right to receive one share of Common Stock of the Issuer. The number of shares reported as beneficially owned following the reported transaction is as of March 31, 2026. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs. The number of shares reported as beneficially owned following the reported transaction is as of April 30, 2026. The number of shares reported as beneficially owned following the reported transaction is as of May 29, 2026, prior to the 4,000 share stock sale on May 29, 2026 reported in the Reporting Person's Form 4 filed June 1, 2026.
RSU shares granted Mar 31 2026 374 shares Fully vested RSUs converting into Common Stock
Shares withheld for taxes Mar 31 2026 125 shares Tax withholding on RSU vesting
RSU shares granted Apr 30 2026 320 shares Fully vested RSUs converting into Common Stock
Shares withheld for taxes Apr 30 2026 145 shares Tax withholding on RSU vesting
RSU shares granted May 29 2026 258 shares Fully vested RSUs converting into Common Stock
Shares withheld for taxes May 29 2026 125 shares Tax withholding on RSU vesting
Total shares withheld for taxes 395 shares TaxWithholdingShares across three transactions
Shares beneficially owned after May 29 2026 13,082 shares Beneficial ownership as of May 29 2026 before separate 4,000-share sale
restricted stock units (RSUs) financial
"These securities are fully vested restricted stock units (RSUs). Each RSU represents a right to receive one share..."
Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.
beneficially owned financial
"The number of shares reported as beneficially owned following the reported transaction is as of March 31, 2026."
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.
income tax withholding financial
"Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations..."
tax-withholding disposition financial
"Payment of exercise price or tax liability by delivering securities"
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
grant, award, or other acquisition financial
"Grant, award, or other acquisition"
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Form 4 Insider Transactions: What Each Field Means →

FAQ

What insider transactions did Lumentum (LITE) director Isaac Hosojiro Harris report?
Isaac Hosojiro Harris reported RSU-related share grants and tax-withholding dispositions. Between March 31 and May 29, 2026, he received 952 Common Stock shares from fully vested RSUs and had 395 shares withheld by Lumentum to satisfy income tax obligations on those vestings.

How many Lumentum (LITE) shares did Isaac Hosojiro Harris hold after these transactions?
After the May 29, 2026 RSU grant and tax-withholding transaction, Harris beneficially owned 13,082 Lumentum Common Stock shares. A footnote specifies this holding is as of May 29, 2026 and is stated before a separate 4,000-share stock sale reported in another Form 4.

Were the Lumentum (LITE) insider dispositions open-market sales?
The dispositions were not open-market sales; they were tax-withholding events. Shares were withheld by Lumentum to satisfy income tax withholding and remittance obligations arising from the vesting of restricted stock units, as described in the Form 4 footnotes.

What does it mean that the Lumentum (LITE) securities are fully vested RSUs?
Fully vested RSUs mean Harris has earned the right to receive shares without further service requirements. Each restricted stock unit represents a right to receive one share of Lumentum Common Stock, so vesting of RSUs results in share delivery, subject to any tax-withholding obligations.

What were the key dates for Isaac Hosojiro Harris’s RSU activity at Lumentum (LITE)?
Key dates were March 31, April 30, and May 29, 2026. On each date, RSUs vested and converted into Common Stock, and Lumentum withheld a portion of shares to cover related income tax, as reflected in the Form 4 transactions and footnotes.

How many Lumentum (LITE) shares were withheld for taxes from Harris’s RSUs?
A total of 395 shares were withheld for taxes across the three events. Specifically, 125 shares were withheld on March 31, 145 shares on April 30, and 125 shares on May 29, 2026, to satisfy income tax withholding and remittance obligations on vested RSUs.
SEC Form 4
FORM 4UNITED 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*
Harris Isaac Hosojiro
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock03/31/2026A(1)374A$012,774(2)D
Common Stock03/31/2026F(3)125D$702.7612,649(2)D
Common Stock04/30/2026A(1)320A$012,969(4)D
Common Stock04/30/2026F(3)145D$902.3212,824(4)D
Common Stock05/29/2026A(1)258A$013,082(5)D
Common Stock05/29/2026F(3)125D$854.9612,957(5)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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. These securities are fully vested restricted stock units (RSUs). Each RSU represents a right to receive one share of Common Stock of the Issuer.
2. The number of shares reported as beneficially owned following the reported transaction is as of March 31, 2026.
3. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs.
4. The number of shares reported as beneficially owned following the reported transaction is as of April 30, 2026.
5. The number of shares reported as beneficially owned following the reported transaction is as of May 29, 2026, prior to the 4,000 share stock sale on May 29, 2026 reported in the Reporting Person's Form 4 filed June 1, 2026.
Remarks:
The RSU grants reported in the Form 4 were granted to the Reporting Person in his prior capacity as Interim Chief Procurement Officer.
/s/ Jae Kim as Attorney-in-Fact07/07/2026
** Signature of Reporting PersonDate
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