Lumentum (NASDAQ: LITE) president sells 3,210 shares in 10b5-1 trade

Filing Impact

(Very High)

Filing Sentiment

(Very Negative)

Form Type

Rhea-AI Filing Summary

Lumentum Holdings Inc. president of global business units Wupen Yuen reported an open-market sale of 3,210 shares of common stock at $953.95 per share on May 18, 2026. The filing shows this sale was made under a pre-arranged Rule 10b5-1 trading plan.

Separately, on May 15, 2026, 3,741 shares were withheld by the company to cover income tax obligations tied to vesting of restricted stock units, which is not an open-market sale. After these transactions, Yuen directly holds 81,488 shares of Lumentum common stock.

Insider Trade Summary 10b5-1

Net Seller: 3,210 shares ($3,062,180)

Net Sell 2 txns

Insider Wupen Yuen

Role PRESIDENT, GLOBAL BUS. UNITS

Sold 3,210 shs ($3.06M)

Type	Security	Shares	Price	Value
Sale	Common Stock	3,210	$953.95	$3.06M
Tax Withholding	Common Stock	3,741	$970.70	$3.63M

Holdings After Transaction: Common Stock — 81,488 shares (Direct, null)

Footnotes (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. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 5, 2025.

Key Figures

Shares sold: 3,210 shares Sale price: $953.95 per share Shares withheld for taxes: 3,741 shares +3 more

6 metrics

Shares sold 3,210 shares Open-market sale of common stock on May 18, 2026

Sale price $953.95 per share Average price for 3,210 shares sold

Shares withheld for taxes 3,741 shares Tax-withholding disposition on May 15, 2026 for RSU vesting

Shares owned after transactions 81,488 shares Direct Lumentum common stock holdings post-transactions

Tax-withholding transactions 1 transaction, 3,741 shares Code F, non-open-market disposition

Net buy/sell direction Net sell of 3,210 shares Form 4 transaction summary netBuySellShares

Key Terms

Rule 10b5-1 trading plan, restricted stock units, open-market sale, tax-withholding disposition, +1 more

5 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 5, 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.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

tax-withholding disposition financial

"transaction_action": "tax-withholding disposition""

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.

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

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Form 4 Insider Transactions: What Each Field Means →

05/19/2026 - 08:10 PM

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)
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)
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	05/15/2026		F⁽¹⁾		3,741	D	$970.7	84,698	D
Common Stock	05/18/2026		S⁽²⁾		3,210	D	$953.95	81,488	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. 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 5, 2025.

	/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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Lumentum (LITE) report for Wupen Yuen?

Lumentum reported that executive Wupen Yuen sold 3,210 shares of common stock in an open-market transaction and had 3,741 shares withheld to cover tax obligations from restricted stock unit vesting, according to the Form 4 filing.

At what price did Wupen Yuen sell Lumentum (LITE) shares?

Wupen Yuen sold 3,210 Lumentum common shares at an average price of $953.95 per share. The Form 4 describes this as an open-market sale executed under a previously adopted Rule 10b5-1 trading plan.

How many Lumentum (LITE) shares does Wupen Yuen own after these transactions?

Following the reported transactions, Wupen Yuen directly owns 81,488 shares of Lumentum common stock. This figure reflects both the open-market sale and the tax-withholding share disposition disclosed in the Form 4.

Were Lumentum (LITE) shares sold under a Rule 10b5-1 plan?

Yes. The Form 4 states that the 3,210 Lumentum common shares were sold pursuant to a Rule 10b5-1 trading plan adopted by Wupen Yuen on November 5, 2025, indicating the sale was pre-arranged.

Why were some of Wupen Yuen’s Lumentum (LITE) shares disposed of for taxes?

The filing explains that 3,741 shares were withheld by Lumentum to satisfy income tax withholding and remittance obligations related to the vesting of restricted stock units, a common non-market mechanism for covering associated tax liabilities.