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Lumentum Holdings director reports 1,283 RSU award on Form 4

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

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported an equity grant to one of its directors on a Form 4. On 11/19/2025, the director received 1,283 restricted stock units (RSUs) of Lumentum common stock at a price of $0 per unit.

Each RSU represents the right to receive one share of common stock after it vests. According to the grant terms, 100% of the RSUs will vest on the earlier of November 19, 2026 or the day before Lumentum’s next annual stockholder meeting, as long as the director continues as a service provider under the company’s 2025 Equity Incentive Plan. After this transaction, the director beneficially owns 10,906 shares directly and 39,378 shares indirectly through a family trust.

Positive

  • None.

Negative

  • None.
Insider HERSCHER PENNY
Role Director
Type Security Shares Price Value
Grant/Award Common Stock 1,283 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 10,906 shares (Direct); Common Stock — 39,378 shares (Indirect, Living Trust)
Footnotes (1)
  1. Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of November 19, 2026 or the day prior to the the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2025 Equity Incentive Plan. These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.
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).
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*
HERSCHER PENNY
(Last) (First) (Middle)
C/O LUMENTUM HOLDINGS INC.
1001 RIDDER PARK DRIVE
(Street)
SAN JOSE CA 95131
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Lumentum Holdings Inc. [ LITE ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/19/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 11/19/2025 A 1,283(1) A $0 10,906 D
Common Stock 39,378 I Living Trust(2)
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. Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of November 19, 2026 or the day prior to the the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2025 Equity Incentive Plan.
2. These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.
/s/ Jae Kim as Attorney-in-Fact 11/21/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Lumentum Holdings (LITE) disclose in this Form 4?

The filing reports that a Lumentum Holdings Inc. director received 1,283 restricted stock units (RSUs) of Lumentum common stock on 11/19/2025.

What are the vesting terms for the 1,283 RSUs reported by Lumentum (LITE)?

100% of the 1,283 RSUs will vest on the earlier of November 19, 2026 or the day prior to Lumentum’s next annual meeting of stockholders, subject to continued service.

How many Lumentum (LITE) shares does the director own after this Form 4 transaction?

Following the grant, the director beneficially owns 10,906 shares directly and 39,378 shares indirectly through the 2001 Herscher Family Trust.

What does each RSU in the Lumentum (LITE) Form 4 represent?

Each RSU represents a contingent right to receive, after vesting, one share of Lumentum common stock under the company’s 2025 Equity Incentive Plan.

Was there a purchase price for the RSUs granted in the Lumentum (LITE) Form 4?

The Form 4 shows that the 1,283 RSUs were granted at a price of $0 per unit.

How are some of the Lumentum (LITE) shares held by the reporting person structured?

39,378 shares are held indirectly via the Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.