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

Lumentum legal chief sells 12,000 shares in plan

Lumentum Holdings Inc. (LITE) reported insider activity by SVP and General Counsel Jae Kim.

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

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported insider activity by SVP and General Counsel Jae Kim. On August 25, 2026, Kim sold 12,000 shares of common stock in 17 open-market transactions under a Rule 10b5-1 trading plan, at weighted-average prices generally between about $842 and $860 per share. On the same date, Kim received a grant of 1,635 restricted stock units (RSUs) under the company’s 2025 Equity Incentive Plan, which vest over time based on continued employment.

Positive

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Negative

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Insights

Analyzing...

Insider Kim Jae
Role SVP, GENERAL COUNSEL
Sold 12,000 shs ($10.23M)
Type Security Shares Price Value
Sale Common Stock F1, F2 205 $842.3932 $173K
Sale Common Stock F1, F3 280 $843.6821 $236K
Sale Common Stock F1, F4 360 $844.6617 $304K
Sale Common Stock F1, F5 570 $845.959 $482K
Sale Common Stock F1, F6 456 $847.0044 $386K
Sale Common Stock F1, F7 491 $847.9411 $416K
Sale Common Stock F1, F8 600 $849.1433 $509K
Sale Common Stock F1, F9 600 $850.4378 $510K
Sale Common Stock F1, F10 970 $851.3098 $826K
Sale Common Stock F1, F11 1,998 $852.3285 $1.70M
Sale Common Stock F1, F12 851 $853.5373 $726K
Sale Common Stock F1, F13 1,080 $854.8428 $923K
Sale Common Stock F1, F14 273 $855.8929 $234K
Sale Common Stock F1, F15 1,679 $856.698 $1.44M
Sale Common Stock F1, F16 815 $857.9592 $699K
Sale Common Stock F1 40 $858.64 $34K
Sale Common Stock F1, F17 732 $860.0367 $630K
Grant/Award Common Stock F18 1,635 $0.00 $0.00
Holdings After Transaction: Common Stock — 39,439 shares (Direct)
Footnotes (18)
  1. F1. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026.
  2. F2. These sales were executed in multiple trades at prices ranging from $842.06 to $843.02. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price, within the ranges set forth in footnotes (2) through (17) to this Form 4, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
  3. F3. These sales were executed in multiple trades at prices ranging from $843.13 to $843.94.
  4. F4. These sales were executed in multiple trades at prices ranging from $844.20 to $845.00.
  5. F5. These sales were executed in multiple trades at prices ranging from $845.41 to $846.33.
  6. F6. These sales were executed in multiple trades at prices ranging from $846.475 to $847.44.
  7. F7. These sales were executed in multiple trades at prices ranging from $847.505 to $848.495.
  8. F8. These sales were executed in multiple trades at prices ranging from $848.51 to $849.495.
  9. F9. These sales were executed in multiple trades at prices ranging from $849.88 to $850.87.
  10. F10. These sales were executed in multiple trades at prices ranging from $850.915 to $851.61.
  11. F11. These sales were executed in multiple trades at prices ranging from $851.935 to $852.87.
  12. F12. These sales were executed in multiple trades at prices ranging from $853.035 to $854.00.
  13. F13. These sales were executed in multiple trades at prices ranging from $854.17 to $855.155.
  14. F14. These sales were executed in multiple trades at prices ranging from $855.17 to $856.15.
  15. F15. These sales were executed in multiple trades at prices ranging from $856.22 to $857.21.
  16. F16. These sales were executed in multiple trades at prices ranging from $857.365 to $858.255.
  17. F17. These sales were executed in multiple trades at prices ranging from $859.99 to $860.69.
  18. F18. 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 2025 Equity Incentive Plan.
Shares sold 12,000 shares of Common Stock Total non-derivative sales by Jae Kim on August 25, 2026
Number of sale transactions 17 transactions Open-market or private sales of Lumentum common stock on August 25, 2026
Overall sale price range $842.06 to $860.69 per share Price ranges cited in sale footnotes for trades on August 25, 2026
Largest individual sale block 1,998 shares Single reported transaction of 1,998 shares at a weighted-average price of $852.3285
RSUs granted 1,635 RSUs Restricted stock units awarded to Jae Kim on August 25, 2026
RSU vesting installments 1/3 after 1 year; 8 quarterly installments Time-based vesting schedule under the 2025 Equity Incentive Plan
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.
weighted average sale price financial
"The price reported above reflects the weighted average sale price."
restricted stock units ("RSUs") financial
"These securities are restricted stock units ("RSUs"). Each RSU represents"
Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.
Equity Incentive Plan financial
"under the Issuer's 2025 Equity Incentive Plan."
An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

FAQ

What insider transactions were reported at Lumentum Holdings Inc. (LITE) on this Form 4?
SVP and General Counsel Jae Kim reported 17 open-market sales totaling 12,000 shares of Lumentum common stock on August 25, 2026, and a separate award of 1,635 RSUs on the same date.

How many LITE shares did Jae Kim sell and at what prices?
Jae Kim sold 12,000 shares of Lumentum common stock on August 25, 2026. The weighted-average sale prices for the individual transactions ranged from about $842.06 up to $860.69 per share, executed in multiple trades within narrower ranges noted in the footnotes.

Were Jae Kim’s LITE share sales made under a Rule 10b5-1 trading plan?
Yes. The filing states the shares were sold pursuant to a Rule 10b5-1 trading plan adopted by Jae Kim on February 6, 2026, and the Form 4 affirms that the transactions were effected under a Rule 10b5-1 plan.

What RSU award did Jae Kim receive from Lumentum (LITE)?
On August 25, 2026, Jae Kim received an award of 1,635 restricted stock units (RSUs), each representing one share of Lumentum common stock upon vesting, under the company’s 2025 Equity Incentive Plan.

What is the vesting schedule for Jae Kim’s new LITE RSUs?
The RSUs vest over time: 1/3 vests one year from the grant date, and the remaining 2/3 vests in eight equal quarterly installments on the 15th of November, February, May and August, subject to continued employment or the plan’s terms.

Do the reported Form 4 transactions show Jae Kim’s total LITE share holdings?
No. The Form 4 transactions list the shares sold and RSUs granted, but the data provided here do not include a figure for total shares held after the transactions.

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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*
Kim Jae
(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)
SVP, GENERAL COUNSEL
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/25/2026		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 Stock08/25/2026S(1)205D$842.3932(2)49,599D
Common Stock08/25/2026S(1)280D$843.6821(3)49,319D
Common Stock08/25/2026S(1)360D$844.6617(4)48,959D
Common Stock08/25/2026S(1)570D$845.959(5)48,389D
Common Stock08/25/2026S(1)456D$847.0044(6)47,933D
Common Stock08/25/2026S(1)491D$847.9411(7)47,442D
Common Stock08/25/2026S(1)600D$849.1433(8)46,842D
Common Stock08/25/2026S(1)600D$850.4378(9)46,242D
Common Stock08/25/2026S(1)970D$851.3098(10)45,272D
Common Stock08/25/2026S(1)1,998D$852.3285(11)43,274D
Common Stock08/25/2026S(1)851D$853.5373(12)42,423D
Common Stock08/25/2026S(1)1,080D$854.8428(13)41,343D
Common Stock08/25/2026S(1)273D$855.8929(14)41,070D
Common Stock08/25/2026S(1)1,679D$856.698(15)39,391D
Common Stock08/25/2026S(1)815D$857.9592(16)38,576D
Common Stock08/25/2026S(1)40D$858.6438,536D
Common Stock08/25/2026S(1)732D$860.0367(17)37,804D
Common Stock08/25/2026A(18)1,635A$039,439D
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. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026.
2. These sales were executed in multiple trades at prices ranging from $842.06 to $843.02. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price, within the ranges set forth in footnotes (2) through (17) to this Form 4, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
3. These sales were executed in multiple trades at prices ranging from $843.13 to $843.94.
4. These sales were executed in multiple trades at prices ranging from $844.20 to $845.00.
5. These sales were executed in multiple trades at prices ranging from $845.41 to $846.33.
6. These sales were executed in multiple trades at prices ranging from $846.475 to $847.44.
7. These sales were executed in multiple trades at prices ranging from $847.505 to $848.495.
8. These sales were executed in multiple trades at prices ranging from $848.51 to $849.495.
9. These sales were executed in multiple trades at prices ranging from $849.88 to $850.87.
10. These sales were executed in multiple trades at prices ranging from $850.915 to $851.61.
11. These sales were executed in multiple trades at prices ranging from $851.935 to $852.87.
12. These sales were executed in multiple trades at prices ranging from $853.035 to $854.00.
13. These sales were executed in multiple trades at prices ranging from $854.17 to $855.155.
14. These sales were executed in multiple trades at prices ranging from $855.17 to $856.15.
15. These sales were executed in multiple trades at prices ranging from $856.22 to $857.21.
16. These sales were executed in multiple trades at prices ranging from $857.365 to $858.255.
17. These sales were executed in multiple trades at prices ranging from $859.99 to $860.69.
18. 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 2025 Equity Incentive Plan.
/s/ Jae Kim08/27/2026
** 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