Lumentum exec sells 2,000 shares under 10b5-1 plan

Lumentum Holdings Inc. (LITE) reported that Wupen Yuen, President, Global Business Units, disclosed several transactions in common stock.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported that Wupen Yuen, President, Global Business Units, disclosed several transactions in common stock. On August 19 and 21, 2026, a total of 10,565 shares were disposed of to satisfy income tax withholding obligations related to vesting restricted stock units. On August 20 and 21, 2026, Yuen also sold 2,000 shares of common stock in market transactions. The sales were made pursuant to a Rule 10b5-1 trading plan adopted on May 19, 2026.

Insider Trade Summary 10b5-1

Net Seller: 2,000 shares

Net Sell 4 txns

Insider Wupen Yuen

Role PRESIDENT, GLOBAL BUS. UNITS

Sold 2,000 shs ($1.69M)

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	6,705	$866.71	$5.81M
Sale	Common Stock F2	500	$898.15	$449K
Sale	Common Stock F2	1,500	$827.82	$1.24M
Tax Withholding	Common Stock F1	3,860	$827.60	$3.19M

Holdings After Transaction: Common Stock — 93,229 shares (Direct)

Footnotes (2)

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. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.

Key Figures

Shares sold in market: 2,000 shares of Common Stock Sale price August 20, 2026: $827.82 per share Sale price August 21, 2026: $898.15 per share +3 more

6 metrics

Shares sold in market 2,000 shares of Common Stock Open-market sales on August 20–21, 2026

Sale price August 20, 2026 $827.82 per share Sale of 1,500 shares of Common Stock

Sale price August 21, 2026 $898.15 per share Sale of 500 shares of Common Stock

Shares withheld for taxes 10,565 shares of Common Stock Code F dispositions for income tax withholding on RSU vesting

Tax-withholding disposition August 19, 2026 3,860 shares at $827.60 per share Common Stock withheld to satisfy income tax obligations

Tax-withholding disposition August 21, 2026 6,705 shares at $866.71 per share Common Stock withheld to satisfy income tax obligations

Key Terms

Rule 10b5-1 trading plan, restricted stock units, income tax withholding, Form 4

4 terms

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.

income tax withholding financial

"to satisfy income tax withholding and remittance obligations"

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did LITE executive Wupen Yuen report?

Wupen Yuen reported dispositions of 10,565 shares of Lumentum common stock for income tax withholding on vested restricted stock units, and open-market sales of 2,000 shares of common stock on August 20–21, 2026.

How many Lumentum (LITE) shares did Wupen Yuen sell in the market?

Wupen Yuen sold 2,000 shares of Lumentum common stock in market transactions, consisting of 1,500 shares on August 20, 2026 and 500 shares on August 21, 2026.

At what prices were Wupen Yuen’s Lumentum (LITE) share sales executed?

The reported sale prices were $827.82 per share for 1,500 shares on August 20, 2026 and $898.15 per share for 500 shares on August 21, 2026.

How many Lumentum (LITE) shares were withheld for taxes on Wupen Yuen’s RSU vesting?

In connection with vesting restricted stock units, 10,565 shares of Lumentum common stock were withheld to satisfy income tax withholding and remittance obligations on August 19 and August 21, 2026.

Were Wupen Yuen’s Lumentum (LITE) stock sales under a Rule 10b5-1 plan?

Yes. The filing states that the 2,000-share open-market sales were made pursuant to a Rule 10b5-1 trading plan adopted by Wupen Yuen on May 19, 2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/21/2026 - 08:44 PM EDT Accepted by SEC EDGAR 08/21/2026 - 08:43 PM EDT Learn about SEC filing dates

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 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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	PRESIDENT, GLOBAL BUS. UNITS

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/19/2026		F(1)		3,860	D	$827.6	101,934	D
Common Stock	08/20/2026		S(2)		1,500	D	$827.82	100,434	D
Common Stock	08/21/2026		F(1)		6,705	D	$866.71	93,729	D
Common Stock	08/21/2026		S(2)		500	D	$898.15	93,229	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 May 19, 2026.

	/s/ Jae Kim as Attorney-in-Fact	08/21/2026
	** 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.
* Form 4: SEC 1474 (03-26)