[Form 4] Lumentum Holdings Inc. Insider Trading Activity

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) – Form 4 insider transaction

President, Industrial Technology, Vincent Retort reported a disposition (Code “S”) of 22,719 common shares on 29 Jul 2025 at an indicated price of $110 per share, generating proceeds of roughly $2.5 million. The sale was executed under a Rule 10b5-1 trading plan adopted 26 Aug 2024, signalling it was pre-scheduled. Following the sale, Retort’s direct ownership stands at 121,747 shares, implying he reduced his position by about 16 %.

No derivative security activity was reported. The filing does not disclose any company-specific operational or financial updates; its relevance is limited to insider sentiment and potential supply of shares.

Positive

• Sale executed under a Rule 10b5-1 plan, demonstrating compliance and reducing information-based trading concerns.
• Officer retains 121,747 shares, indicating continued equity alignment with shareholders.

Negative

• 22,719 shares sold (~16 % of prior holdings), which may be viewed as a bearish insider signal.
• Approx. $2.5 million in shares added to market float, potentially exerting minor selling pressure.

Insights

Equity Analyst

TL;DR: Officer sold ~16 % stake via 10b5-1; neutral-to-slightly negative signal.

Insider selling can pressure sentiment, but context matters. The trade was arranged under a Rule 10b5-1 plan, mitigating concerns over information asymmetry. Still, the absolute dollar amount (~$2.5 m) and percentage of holdings (≈16 %) represent a meaningful reduction. Retort retains ~122 k shares, maintaining alignment with shareholders. Absent additional operational data, I view the impact as modestly negative, mainly affecting short-term perception rather than fundamentals.

Corporate Governance Specialist

TL;DR: Pre-planned sale aligns with governance best practices; impact minimal.

Use of a 10b5-1 plan indicates adherence to SEC guidance and reduces litigation risk. The officer remains a significant shareholder, preserving incentive alignment. From a governance lens, the disclosure is routine and non-impactful. Market reaction should be muted unless followed by further, unscheduled disposals.

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^*

Retort Vincent

(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, INDUSTRIAL TECH.

3. Date of Earliest Transaction (Month/Day/Year)
07/29/2025

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	07/29/2025		S(1)		22,719	D	$110	121,747	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. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2024.

	/s/ Jae Kim as Attorney-in-Fact	07/31/2025
	** 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

How many LITE shares did President Vincent Retort sell on 29 Jul 2025?

He disposed of 22,719 common shares.

At what price were the Lumentum (LITE) shares sold?

The Form 4 lists a sale price of $110 per share.

What is Retort's remaining stake in LITE after the transaction?

He now directly owns 121,747 common shares.

Was the transaction part of a 10b5-1 plan?

Yes. The footnote states the sale was under a Rule 10b5-1 plan adopted on 26 Aug 2024.

Does this filing include any derivative security activity?

No derivative securities were acquired or disposed of in this report.

Is the insider still considered an officer of Lumentum Holdings?

Yes, Vincent Retort is listed as President, Industrial Technology.