Lumentum (LITE) director Herscher share sale and trust holdings

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Lumentum Holdings director Penelope Herscher reported selling 4,849 shares of Lumentum common stock on February 6, 2026 at a weighted average price of $535.4798 per share. After this transaction, she beneficially owned 6,057 shares directly and 39,378 shares indirectly through a family living trust.

Insider Trade Summary

Net Seller: 4,849 shares ($2,596,542)

Net Sell 2 txns

Insider HERSCHER PENNY

Role Director

Sold 4,849 shs ($2.60M)

Type	Security	Shares	Price	Value
Sale	Common Stock	4,849	$535.4798	$2.60M
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 6,057 shares (Direct); Common Stock — 39,378 shares (Indirect, Living Trust)

Footnotes (1)

These sales were executed in multiple trades at prices ranging from $525.74 to $535.81. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.

Form 4 Insider Transactions: What Each Field Means →

02/10/2026 - 05:24 PM

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).

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^*

HERSCHER PENNY

(Last)

(First)

(Middle)

C/O LUMENTUM HOLDINGS INC.

1001 RIDDER PARK DRIVE

(Street)

SAN JOSE

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)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
02/06/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	02/06/2026		S		4,849	D	$535.4798⁽¹⁾	6,057	D
Common Stock								39,378	I	Living Trust⁽²⁾

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. These sales were executed in multiple trades at prices ranging from $525.74 to $535.81. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.

2. These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.

	/s/ Jae Kim as Attorney-in-Fact	02/10/2026
	** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Lumentum (LITE) director Penelope Herscher report?

Director Penelope Herscher reported selling 4,849 shares of Lumentum common stock. The sale occurred on February 6, 2026 and was reported on a Form 4 insider filing, reflecting a change in her directly held share ownership position at the company.

At what price did Penelope Herscher sell her Lumentum (LITE) shares?

The reported sale used a weighted average price of $535.4798 per share. The filing notes the trades were executed in multiple transactions between $525.74 and $535.81, and undertakes to provide detailed trade data upon request to regulators or shareholders.

How many Lumentum (LITE) shares does Penelope Herscher own after the reported sale?

After the sale, Penelope Herscher beneficially owned 6,057 Lumentum common shares directly. She also had indirect beneficial ownership of 39,378 shares held through a living trust, giving her both direct and trust-based exposure to the company’s equity.

What does the Form 4 say about Penelope Herscher’s indirect Lumentum (LITE) holdings?

The Form 4 shows 39,378 Lumentum common shares held indirectly as a “Living Trust.” Footnotes explain these are held by Bret Anders Herscher and Penelope Ann Herscher as trustees of the 2001 Herscher Family Trust established on June 14, 2001.

Was Penelope Herscher’s Lumentum (LITE) stock sale executed in a single trade?

No. The filing states the sales were executed in multiple trades at prices ranging from $525.74 to $535.81. The reported transaction price of $535.4798 is a weighted average, and detailed trade breakdowns are available upon request to authorized parties.