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

Lumentum (LITE) exec nets 63,956 shares, sells 3,183

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

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported multiple equity transactions by executive officer Vincent Retort. On August 17, 2026, he acquired 63,956 shares of common stock at $0.00 per share upon satisfaction of performance conditions for previously granted PSUs. On the same date, 32,542 shares and on August 15, 2026, 3,299 shares were withheld to satisfy income tax obligations tied to vesting of PSUs and RSUs. On August 18, 2026, he sold 3,183 shares of common stock at $909.43 per share under a Rule 10b5-1 trading plan adopted on November 13, 2025.

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Insider Retort Vincent
Role SEE REMARKS
Sold 3,183 shs ($2.89M)
Type Security Shares Price Value
Sale Common Stock F4 3,183 $909.43 $2.89M
Grant/Award Common Stock F2 63,956 $0.00 $0.00
Tax Withholding Common Stock F3 32,542 $968.90 $31.53M
Tax Withholding Common Stock F1 3,299 $926.14 $3.06M
Holdings After Transaction: Common Stock — 114,495 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 August 23, 2023.
  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 November 13, 2025.
Shares sold 3,183 shares Common Stock sale on August 18, 2026
Sale price per share $909.43 per share Price for 3,183-share sale on August 18, 2026
PSU-related shares acquired 63,956 shares Common Stock acquired on August 17, 2026 upon PSU performance determination
Shares withheld for taxes (PSUs) 32,542 shares Withheld on August 17, 2026 for income tax obligations on PSU vesting
Shares withheld for taxes (RSUs) 3,299 shares Withheld on August 15, 2026 for income tax obligations on RSU vesting
Total shares for tax withholding 35,841 shares Aggregate code F shares for payment of income tax obligations
10b5-1 plan adoption date November 13, 2025 Adoption date of trading plan covering the 3,183-share 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 and remittance obligations financial
"to satisfy income tax withholding and remittance obligations in connection"

FAQ

What insider stock transactions did LITE executive Vincent Retort report?
Vincent Retort reported a 3,183-share sale, a 63,956-share PSU-related acquisition, and tax-withholding dispositions totaling 35,841 shares. These involved restricted stock unit and performance stock unit vesting plus one planned sale under a Rule 10b5-1 trading plan.

At what price did the LITE insider sell shares on August 18, 2026?
On August 18, 2026, Vincent Retort sold 3,183 Lumentum (LITE) shares at $909.43 per share. The sale was executed under a Rule 10b5-1 trading plan, indicating it was made pursuant to a pre-arranged trading schedule.

How many LITE shares did the executive acquire from PSU performance vesting?
On August 17, 2026, Vincent Retort acquired 63,956 Lumentum (LITE) shares at $0.00 per share. The acquisition followed a Compensation Committee determination that performance conditions for performance stock units (PSUs) granted on August 23, 2023 had been met.

Why were some of the LITE shares disposed of in code F transactions?
Code F transactions involved 35,841 Lumentum (LITE) shares withheld by the company. Footnotes state these shares were retained by the issuer to satisfy income tax withholding and remittance obligations related to vesting of RSUs and PSUs, not open-market sales.

Were the recent LITE insider sales made under a Rule 10b5-1 plan?
Yes. The 3,183-share sale on August 18, 2026 was executed under a Rule 10b5-1 trading plan. A footnote specifies the plan was adopted by Vincent Retort on November 13, 2025, indicating the sale followed a pre-established schedule.

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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*
Retort Vincent
(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)
SEE REMARKS
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)3,299D$926.1486,264D
Common Stock08/17/2026A(2)63,956A$0150,220D
Common Stock08/17/2026F(3)32,542D$968.9117,678D
Common Stock08/18/2026S(4)3,183D$909.43114,495D
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 August 23, 2023.
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 November 13, 2025.
Remarks:
Officer title: Executive Vice President, Global Reliability & Quality
/s/ Jae Kim as Attorney-in-Fact08/18/2026
** 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