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

Lumentum (NASDAQ: LITE) legal chief sells stock under 10b5-1 plan

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported multiple equity transactions by SVP and General Counsel Jae Kim involving common stock. On August 17, 2026, Kim acquired 33,433 shares upon Compensation Committee determination that performance conditions for previously granted PSUs were met, and on August 15 and 17 a total of 18,427 shares were withheld by the company to cover income tax obligations tied to vesting RSUs and PSUs. On August 18, 2026, Kim sold 1,366 shares at $909.43 per share pursuant to a Rule 10b5-1 trading plan adopted on February 6, 2026.

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Insider Kim Jae
Role SVP, GENERAL COUNSEL
Sold 1,366 shs ($1.24M)
Type Security Shares Price Value
Sale Common Stock F4 1,366 $909.43 $1.24M
Grant/Award Common Stock F2 33,433 $0.00 $0.00
Tax Withholding Common Stock F3 17,011 $968.90 $16.48M
Tax Withholding Common Stock F1 1,416 $926.14 $1.31M
Holdings After Transaction: Common Stock — 45,973 shares (Direct)
Footnotes (4)
  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 April 15, 2024.
  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.
  4. F4. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026.
Shares sold 1366 shares Common stock sale on August 18, 2026 at $909.43 per share
Sale price $909.43 per share Price for 1,366 common shares sold on August 18, 2026
PSU-related shares acquired 33433 shares Common shares acquired August 17, 2026 upon meeting PSU performance conditions
Shares withheld for taxes (RSUs) 1416 shares Shares withheld August 15, 2026 to satisfy tax obligations on RSU vesting
Shares withheld for taxes (PSUs) 17011 shares Shares withheld August 17, 2026 to satisfy tax obligations on PSU vesting
10b5-1 plan adoption date February 6, 2026 Date Jae Kim adopted Rule 10b5-1 trading plan for the reported sale
Rule 10b5-1 trading plan regulatory
"These shares were sold pursuant to a Rule 10b5-1 trading plan adopted"
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.
performance stock units financial
"with respect to certain performance stock units ("PSUs") granted"
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.
income tax withholding financial
"to satisfy income tax withholding and remittance obligations"

FAQ

What insider transactions did Lumentum Holdings Inc. (LITE) report for Jae Kim?
Jae Kim reported a grant of 33,433 shares from vested PSUs, 18,427 shares withheld for tax obligations on RSU/PSU vesting, and a sale of 1,366 shares in August 2026.

How many LITE shares did Jae Kim sell in the latest Form 4 filing?
Jae Kim sold 1,366 shares of Lumentum common stock on August 18, 2026 at $909.43 per share. The sale was executed under a Rule 10b5-1 trading plan adopted on February 6, 2026.

What equity awards did Jae Kim of Lumentum (LITE) receive in this Form 4?
On August 17, 2026, Jae Kim acquired 33,433 shares of Lumentum common stock upon the Compensation Committee’s determination that performance conditions for previously granted PSUs had been met.

Why were Lumentum (LITE) shares withheld from Jae Kim in this filing?
On August 15 and 17, 2026, a total of 18,427 shares were withheld by Lumentum from Jae Kim to satisfy income tax withholding and remittance obligations related to vesting RSUs and PSUs.

Were Jae Kim’s Lumentum (LITE) stock sales made under a trading plan?
Yes. The 1,366-share sale on August 18, 2026 was made pursuant to a Rule 10b5-1 trading plan that Jae Kim adopted on February 6, 2026, indicating pre-arranged trading instructions.

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Form 4 Insider Transactions: What Each Field Means →
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).
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*
Kim Jae
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
SVP, GENERAL COUNSEL
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/15/2026		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 Stock08/15/2026F(1)1,416D$926.1430,917D
Common Stock08/17/2026A(2)33,433A$064,350D
Common Stock08/17/2026F(3)17,011D$968.947,339D
Common Stock08/18/2026S(4)1,366D$909.4345,973D
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. 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 April 15, 2024.
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.
4. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026.
/s/ Jae Kim08/18/2026
** 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