What is the 1,416-share transaction in Lumentum (LITE) SVP Jae Kim’s Form 4?

The 1,416-share transaction reflects tax withholding, not a market sale. These shares were withheld by Lumentum on May 15, 2026 to cover income tax and remittance obligations arising from the vesting of restricted stock units.

Was Jae Kim’s Lumentum (LITE) share sale under a Rule 10b5-1 plan?

Yes, the Form 4 states the sale was under a Rule 10b5-1 plan. The 1,422-share sale on May 18, 2026 was executed pursuant to a trading plan adopted on February 6, 2026, indicating the transaction was pre-scheduled.

Lumentum (LITE) SVP Jae Kim sells shares under Rule 10b5-1 trading plan

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Lumentum Holdings Inc. SVP and General Counsel Jae Kim reported recent share activity in company stock. On May 18, 2026, Kim executed an open-market sale of 1,422 shares of common stock at $953.95 per share under a pre-arranged Rule 10b5-1 trading plan. On May 15, 2026, 1,416 shares were withheld by the company to cover income tax obligations tied to vesting restricted stock units, a non-market transaction. Following these events, Kim directly holds 32,333 shares of Lumentum common stock, including 57 shares acquired through the Employee Stock Purchase Plan.

Insider Trade Summary 10b5-1

Net Seller: 1,422 shares ($1,356,517)

Net Sell 2 txns

Insider Kim Jae

Role SVP, GENERAL COUNSEL

Sold 1,422 shs ($1.36M)

Type	Security	Shares	Price	Value
Sale	Common Stock	1,422	$953.95	$1.36M
Tax Withholding	Common Stock	1,416	$970.70	$1.37M

Holdings After Transaction: Common Stock — 32,333 shares (Direct, null)

Footnotes (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. Includes 57 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 15, 2026. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026.

Key Figures

Shares sold: 1,422 shares Sale price: $953.95 per share Tax withholding shares: 1,416 shares +2 more

5 metrics

Shares sold 1,422 shares Open-market sale on May 18, 2026 at $953.95 per share

Sale price $953.95 per share Open-market sale of Lumentum common stock by Jae Kim

Tax withholding shares 1,416 shares Withheld on May 15, 2026 to satisfy RSU-related income tax

Shares held after transactions 32,333 shares Direct Lumentum common stock holdings following Form 4 transactions

ESPP shares acquired 57 shares Acquired via Employee Stock Purchase Plan on May 15, 2026

Key Terms

Rule 10b5-1 trading plan, restricted stock units, Employee Stock Purchase Plan, income tax withholding, +1 more

5 terms

Rule 10b5-1 trading plan regulatory

"These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026."

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.

Employee Stock Purchase Plan financial

"Includes 57 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 15, 2026."

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

income tax withholding financial

"withheld by the Issuer to satisfy income tax withholding and remittance obligations"

open-market sale financial

"transaction_action: "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Form 4 Insider Transactions: What Each Field Means →

05/19/2026 - 08:07 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^*

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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	SVP, GENERAL COUNSEL

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/15/2026

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)
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	05/15/2026		F⁽¹⁾		1,416	D	$970.7	33,755⁽²⁾	D
Common Stock	05/18/2026		S⁽³⁾		1,422	D	$953.95	32,333	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)
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. 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. Includes 57 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 15, 2026.

3. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026.

	/s/ Jae Kim	05/19/2026
	** 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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Lumentum (LITE) SVP Jae Kim report?

Jae Kim reported one share sale and one tax-related share withholding. Kim sold 1,422 Lumentum common shares on May 18, 2026, and had 1,416 shares withheld on May 15, 2026, to satisfy income tax obligations tied to restricted stock unit vesting.

At what price did Jae Kim sell Lumentum (LITE) shares in the latest Form 4?

Jae Kim sold 1,422 Lumentum common shares at $953.95 per share. This open-market sale occurred on May 18, 2026 and was executed pursuant to a pre-arranged Rule 10b5-1 trading plan previously adopted by the reporting person.

How many Lumentum (LITE) shares does Jae Kim hold after these transactions?

After the reported transactions, Jae Kim holds 32,333 Lumentum shares directly. This total includes 57 shares acquired through the company’s Employee Stock Purchase Plan, as disclosed in the Form 4 footnotes.

Did Jae Kim acquire any Lumentum (LITE) shares in this reporting period?

Yes, Kim acquired 57 shares through the Employee Stock Purchase Plan. A footnote explains that these 57 Lumentum shares were obtained under the ESPP on May 15, 2026, and are included in the post-transaction holdings total.