[Form 4] Lumentum Holdings Inc. Insider Trading Activity

Rhea-AI Filing Summary

Insider transactions by Lumentum Holdings (LITE): SVP and General Counsel Jae Kim reported vesting-related acquisitions and a tax-withholding disposition. On 08/19/2025, 11,633 restricted stock units (RSUs) were recorded as acquired, bringing reported beneficial ownership to 41,453 shares. On 08/21/2025, 2,057 shares were acquired following the Compensation Committee's determination that performance conditions for certain performance stock units (PSUs) granted 08/21/2024 were met, taking ownership to 43,510 shares. Also on 08/21/2025, 5,538 shares were withheld to satisfy tax withholding obligations in connection with the RSU/PSU vesting; those shares were disposed at a price of $117.43, resulting in 37,972 shares beneficially owned after the transactions.

Positive

• Acquisition through vesting: Reporting person acquired 11,633 RSUs (08/19/2025) and 2,057 PSU-settled shares (08/21/2025), indicating plan-based compensation was settled
• Performance condition met: Compensation Committee determined performance conditions were satisfied for PSUs granted 08/21/2024

Negative

• Tax withholding disposition: 5,538 shares were withheld/sold at $117.43 on 08/21/2025, reducing reported beneficial ownership to 37,972

Insights

Financial Analyst

TL;DR: Insider received compensation shares via RSU/PSU vesting and had shares withheld for taxes; net insider holdings decreased after withholding.

These entries reflect standard equity compensation mechanics rather than open-market trading. The Reporting Person acquired a total of 13,690 shares through vesting events (11,633 RSUs and 2,057 PSUs) and 5,538 shares were withheld at $117.43 to satisfy tax obligations. The net effect reduced reported beneficial ownership from a peak of 43,510 to 37,972. For financial modeling, treat these as non-cash compensation expense events accounted for through equity, with no direct cash proceeds to the insider from the vesting itself aside from the tax-withholding disposition.

Corporate Governance Expert

TL;DR: Transactions are routine post-vesting reporting by an officer; no unusual related-party or open-market sale disclosed.

The Form 4 discloses time-based RSU vesting terms and PSU performance-based settlement previously approved by the Compensation Committee. The RSUs vest one year after grant with subsequent quarterly installments, per the issuer's 2015 Equity Incentive Plan, which is consistent with typical executive compensation structures. The withholding of 5,538 shares to satisfy tax obligations is a common administrative step and is explicitly reported with the withholding price of $117.43.

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
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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^*

Kim Jae

(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)
	SVP, GENERAL COUNSEL

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2025

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	08/19/2025		A(1)		11,633	A	$0	41,453	D
Common Stock	08/21/2025		A(2)		2,057	A	$0	43,510	D
Common Stock	08/21/2025		F(3)		5,538	D	$117.43	37,972	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 securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, following vesting, one share of the Issuer's Common Stock. 1/3 of the shares shall vest one year from the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter on the 15th of November, February, May and August, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan.

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 21, 2024.

3. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs and PSUs.

	/s/ Jae Kim	08/21/2025
	** 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.

FAQ

What insider transactions did Jae Kim report on Form 4 for LITE?

The report shows acquisition of 11,633 RSUs on 08/19/2025, acquisition of 2,057 PSU-settled shares on 08/21/2025, and withholding of 5,538 shares for taxes at $117.43 on 08/21/2025.

Did any shares get sold or transferred in these transactions for Lumentum (LITE)?

Yes, 5,538 shares were withheld by the issuer to satisfy income tax withholding and remittance obligations; the withholding price reported was $117.43.

How many Lumentum shares did Jae Kim beneficially own after these filings?

Following the reported transactions, the Form 4 lists beneficial ownership of 37,972 shares.

Were the PSU shares tied to performance conditions?

Yes. The 2,057 shares acquired on 08/21/2025 were pursuant to a Compensation Committee determination that performance conditions were met for PSUs granted on 08/21/2024.

What vesting schedule applies to the reported RSUs?

The RSUs vest with 1/3 of shares vesting one year from the grant date and the remainder vesting in eight equal quarterly installments on the 15th of November, February, May and August, subject to continued employment.