[Form 4] Lumentum Holdings Inc. Insider Trading Activity

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) officer Wupen Yuen reported multiple transactions in the company’s common stock in mid‑August 2025. On 08/15/2025 2,540 shares were withheld by the issuer to satisfy income tax withholding related to the vesting of restricted stock units; following that transaction Yuen beneficially owned 76,777 shares (direct). Also under a Rule 10b5‑1 plan adopted 02/11/2025, Yuen sold 109 shares on each of 08/15/2025, 08/18/2025, and 08/19/2025 at prices of $113.61, $116.45, and $117.60 respectively, reducing direct beneficial ownership stepwise to 76,450 shares. The Form 4 was signed by Jae Kim as attorney‑in‑fact on 08/19/2025.

Insights

Securities Analyst

TL;DR: Routine insider tax withholding and scheduled 10b5‑1 sales, not a discretionary trading signal.

The filings show non‑discretionary activity: shares withheld to satisfy tax on RSU vesting and small, pre‑arranged sales under a 10b5‑1 plan. The per‑share sale sizes (109 shares each) and the withholding event are administrative in nature and small relative to typical officer holdings. There is no indication of additional derivative transactions or unusual concentrations. For investors, this filing documents standard compensation and liquidity management by the officer rather than a company performance signal.

Corporate Governance Expert

TL;DR: Disclosure is timely and includes required explanations for withholding and 10b5‑1 sales.

The Form 4 clearly identifies the officer role, the RSU withholding event, and that the sales were executed pursuant to a 10b5‑1 plan adopted 02/11/2025. The signature by an attorney‑in‑fact is properly included. From a governance perspective, routine use of 10b5‑1 plans and tax withholding on equity compensation are standard practices and the filing meets disclosure expectations without revealing material governance concerns.

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).

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^*

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)
08/15/2025

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	08/15/2025		F(1)		2,540	D	$115.86	76,777	D
Common Stock	08/15/2025		S(2)		109	D	$113.61	76,668	D
Common Stock	08/18/2025		S(2)		109	D	$116.45	76,559	D
Common Stock	08/19/2025		S(2)		109	D	$117.6	76,450	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 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 February 11, 2025.

	/s/ Jae Kim as Attorney-in-Fact	08/19/2025
	** 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.

FAQ

What transactions did LITE officer Wupen Yuen report on Form 4?

The officer reported 2,540 shares withheld for tax on RSU vesting and three separate 109‑share sales on 08/15/2025, 08/18/2025, and 08/19/2025.

Were the sales by Wupen Yuen discretionary trades?

No. The sales were made pursuant to a Rule 10b5‑1 trading plan adopted on 02/11/2025, indicating pre‑arranged transactions.

What prices were the LITE shares sold at in these transactions?

The recorded sale prices were $113.61 (08/15/2025), $116.45 (08/18/2025), and $117.60 (08/19/2025).

How many LITE shares does Wupen Yuen beneficially own after these transactions?

After the reported transactions the Form 4 shows direct beneficial ownership of 76,450 shares.

Why were shares withheld on 08/15/2025?

The filing states shares were withheld by the issuer to satisfy income tax withholding and remittance obligations related to RSU vesting.