STOCK TITAN
  1. Home
  2. Sec-filings
  3. LITE
  4. [Form 4] Lumentum Holdings Inc. Insider Trading Activity

Officer Wupen Yuen Reports 79,317 Shares After PSU Settlement

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

Rhea-AI Filing Summary

Wupen Yuen, President, Cloud & Networking at Lumentum Holdings Inc. (LITE), reported changes in beneficial ownership related to performance stock units (PSUs) that vested on 08/07/2025. The report shows the acquisition of 1,465 shares upon determination by the Compensation Committee that specified performance conditions were met for PSUs granted on August 24, 2022. The vested PSUs were recorded at a $0 acquisition price.

To satisfy income tax withholding obligations connected with the vesting, 745 shares were withheld (reported as a disposition) at a price of $111.13 per share. After these transactions the reporting person beneficially owned 79,317 shares (direct).

Positive

  • Performance conditions were met for PSUs granted on August 24, 2022, leading to share settlement
  • 1,465 shares acquired upon PSU vesting, showing compensation converted to equity
  • Final direct beneficial ownership reported as 79,317 shares, providing clear post-transaction holdings

Negative

  • None.

Insights

TL;DR: Routine officer equity vesting and tax-withholding, limited market impact.

The Form 4 documents a standard compensation settlement: performance-based restricted stock units vested, yielding 1,465 shares, with 745 shares withheld to satisfy tax withholding at $111.13 per share. The transaction was executed on 08/07/2025 and leaves the officer with 79,317 directly held shares. This is a non-discretionary, compensation-driven transaction rather than an opportunistic sale, so it is neutral for near-term valuation signals.

TL;DR: Compensation committee confirmed performance conditions; disclosure aligns with typical governance practices.

The filing explicitly states the Compensation Committee determined performance conditions were met for PSUs granted on August 24, 2022, triggering settlement. Withholding of 745 shares for tax obligations is disclosed and documented. The clear explanatory notes and the officer designation (President, Cloud & Networking) provide transparent reporting of governance-controlled compensation outcomes. Impact is informational and routine.

Insider Wupen Yuen
Role PRESIDENT, CLOUD & NETWORKING
Type Security Shares Price Value
Grant/Award Common Stock 1,465 $0.00 --
Tax Withholding Common Stock 745 $111.13 $83K
Holdings After Transaction: Common Stock — 80,062 shares (Direct)
Footnotes (1)
  1. 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 24, 2022. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of PSUs.
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*
Wupen Yuen
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
PRESIDENT, CLOUD & NETWORKING
3. Date of Earliest Transaction (Month/Day/Year)
08/07/2025
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 08/07/2025 A 1,465(1) A $0 80,062 D
Common Stock 08/07/2025 F(2) 745 D $111.13 79,317 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 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 24, 2022.
2. 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 08/11/2025
** 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 transactions did Wupen Yuen report on the Form 4 for Lumentum (LITE)?

Acquisition of 1,465 shares upon PSU vesting and 745 shares withheld to satisfy tax withholding, both dated 08/07/2025.

What is Wupen Yuen's role at Lumentum?

President, Cloud & Networking and an officer of Lumentum Holdings Inc.

How many shares does the reporting person own after these transactions?

79,317 shares beneficially owned (direct) following the reported transactions.

Why were 745 shares disposed of and at what price?

745 shares were withheld to satisfy income tax withholding obligations, reported at $111.13 per share.

What triggered the acquisition of 1,465 shares?

The Compensation Committee determined that certain performance conditions were met with respect to PSUs granted on August 24, 2022.