Lumentum officer sells 1,500 shares in plan

Lumentum’s president of global business units reported 1,500 pre-planned share sales under a Rule 10b5-1 trading plan.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported that Wupen Yuen, its president of global business units, sold a total of 1,500 shares of common stock in three open-market or private transactions on September 16, 17, and 18, 2026, pursuant to a Rule 10b5-1 trading plan adopted on May 19, 2026.

Insider Trade Summary 10b5-1

Net Seller: 1,500 shares

Net Sell 3 txns

Insider Wupen Yuen

Role PRESIDENT, GLOBAL BUS. UNITS

Sold 1,500 shs ($1.36M)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	500	$920.00	$460K
Sale	Common Stock F1	500	$933.45	$467K
Sale	Common Stock F1	500	$856.83	$428K

Holdings After Transaction: Common Stock — 111,627 shares (Direct)

Footnotes (1)

1. F1. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.

Key Figures

Total shares sold: 1,500 shares Shares sold September 16, 2026: 500 shares at $856.83 per share Shares sold September 17, 2026: 500 shares at $933.45 per share +2 more

5 metrics

Total shares sold 1,500 shares Aggregate insider sales by Wupen Yuen reported in this Form 4

Shares sold September 16, 2026 500 shares at $856.83 per share Sale of Lumentum common stock in an open-market or private transaction

Shares sold September 17, 2026 500 shares at $933.45 per share Sale of Lumentum common stock in an open-market or private transaction

Shares sold September 18, 2026 500 shares at $920.00 per share Sale of Lumentum common stock in an open-market or private transaction

Rule 10b5-1 plan adoption date May 19, 2026 Date the reporting person adopted the trading plan under which the shares were sold

Key Terms

Rule 10b5-1 trading plan, open-market or private transaction

2 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.

open-market or private transaction market

"Sale in open market or private transaction"

FAQ

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

What insider transaction did LITE report on this Form 4?

Lumentum Holdings Inc. reported that Wupen Yuen sold 1,500 shares of common stock in three transactions on September 16, 17, and 18, 2026, categorized as sales in open-market or private transactions under a Rule 10b5-1 trading plan.

How many LITE shares did Wupen Yuen sell and on what dates?

Wupen Yuen sold 500 shares on September 16, 2026, 500 shares on September 17, 2026, and 500 shares on September 18, 2026, for a total of 1,500 shares of Lumentum common stock.

At what prices were the LITE shares sold by Wupen Yuen?

The reported sale prices were $856.83 per share on September 16, 2026, $933.45 per share on September 17, 2026, and $920.00 per share on September 18, 2026, each described as a sale in an open-market or private transaction.

Were Wupen Yuen’s LITE share sales made under a Rule 10b5-1 plan?

Yes. The filing states that the shares were sold pursuant to a Rule 10b5-1 trading plan adopted by Wupen Yuen on May 19, 2026, indicating the sales were pre-arranged under that plan.

What is Wupen Yuen’s role at Lumentum Holdings Inc. (LITE)?

The reporting person, Wupen Yuen, is identified as an officer of Lumentum Holdings Inc., serving as President, Global Business Units at the company.

Are the reported LITE share sales direct or indirect holdings?

The filing classifies each of the three reported sales of Lumentum common stock as direct ownership transactions by the reporting person.

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

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Available on EDGAR 09/18/2026 - 04:54 PM Accepted by SEC EDGAR 09/18/2026 - 04:52 PM 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)
09/16/2026

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	09/16/2026		S(1)		500	D	$856.83	112,627	D
Common Stock	09/17/2026		S(1)		500	D	$933.45	112,127	D
Common Stock	09/18/2026		S(1)		500	D	$920	111,627	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 May 19, 2026.

	/s/ Jae Kim as Attorney-in-Fact	09/18/2026
	** 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)