Lumentum Holdings (LITE) exec granted 22,760 PSUs vesting in 2028

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported that officer Wupen Yuen received an award-related acquisition of 22,760 shares of common stock on August 17, 2026, recorded at a price of $0.00 per share as a grant/award. These shares relate to performance stock units (PSUs) originally granted on August 19, 2025, for which the Compensation Committee has certified achievement of specified performance conditions. The PSUs remain subject to time-based vesting, with 100% of the shares scheduled to vest on August 19, 2028, contingent on Mr. Yuen continuing as a service provider through that date. Following this transaction, Mr. Yuen is reported as beneficially owning 100,507 shares of common stock as of August 17, 2026, before considering other transactions on that date reported separately. The filing indicates this transaction was not made under a Rule 10b5-1 trading plan.

Insider Trade Summary

Net Buyer: 22,760 shares

Net Buy 1 txn

Insider Wupen Yuen

Role PRESIDENT, GLOBAL BUS. UNITS

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1, F2	22,760	$0.00	$0.00

Holdings After Transaction: Common Stock — 100,507 shares (Direct)

Footnotes (2)

1. F1. The Compensation Committee of the Board of Directors of the Issuer certified achievement of certain performance conditions with respect to performance stock units (PSUs) granted to the Reporting Person on August 19, 2025. The PSUs remain subject to time-based vesting; 100% of the shares shall vest on August 19, 2028, subject to the Reporting Person continuing to be a service provider of the Issuer through such date.
2. F2. The number of shares reported as beneficially owned following the reported transaction is as of August 17, 2026 and prior to other transactions that occurred August 17, 2026 as reported in a Form 4 filed by the Reporting Person on August 18, 2026.

Key Figures

Shares acquired in award: 22,760 shares of Common Stock Price per share for award: $0.00 per share Shares beneficially owned after transaction: 100,507 shares +2 more

5 metrics

Shares acquired in award 22,760 shares of Common Stock Grant/award acquisition on August 17, 2026

Price per share for award $0.00 per share Reported for the August 17, 2026 grant/award transaction

Shares beneficially owned after transaction 100,507 shares Beneficial ownership as of August 17, 2026, before other same-day transactions

PSU grant date August 19, 2025 Date PSUs tied to this transaction were originally granted

PSU vesting date August 19, 2028 Date when 100% of shares underlying the PSUs are scheduled to vest, subject to continued service

Key Terms

performance stock units, time-based vesting, beneficially owned

3 terms

performance stock units financial

"achievement of certain performance conditions with respect to performance stock units (PSUs)"

Performance stock units are a type of company award that grants employees shares of stock only if certain performance goals are met. They motivate employees to work toward specific company achievements, aligning their interests with those of shareholders. For investors, they can influence a company's future stock supply and reflect management’s confidence in reaching key targets.

time-based vesting financial

"The PSUs remain subject to time-based vesting; 100% of the shares"

Time-based vesting is a schedule that gives employees or contractors ownership of granted stock or options gradually as they remain with a company, like unlocking rewards in a loyalty program the longer you stick around. For investors, it matters because it affects future share supply, management incentives and staff retention — all of which can influence company performance and dilution of existing shareholders.

beneficially owned financial

"The number of shares reported as beneficially owned following the reported"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

FAQ

What did LITE executive Wupen Yuen report in this Form 4?

He reported a grant/award acquisition of 22,760 shares of Lumentum common stock on August 17, 2026, tied to performance stock units whose performance conditions were certified by the Compensation Committee.

Are the 22,760 LITE shares fully vested for Wupen Yuen?

No. The shares relate to performance stock units that remain subject to time-based vesting, with 100% scheduled to vest on August 19, 2028, if he continues as a service provider through that date.

How many LITE shares does Wupen Yuen beneficially own after this transaction?

After this reported transaction, he is shown as beneficially owning 100,507 shares of Lumentum common stock as of August 17, 2026, before giving effect to other transactions on that date reported separately.

Was this LITE Form 4 transaction under a Rule 10b5-1 plan?

No. The filing’s Rule 10b5-1 checkbox is not checked, indicating the reported award-related acquisition was not made pursuant to a Rule 10b5-1 trading plan.

What performance award is involved in this LITE Form 4?

The transaction involves performance stock units (PSUs) granted to Wupen Yuen on August 19, 2025. The Compensation Committee certified achievement of certain performance conditions tied to those PSUs.

When will the PSUs in this LITE filing fully vest?

The PSUs are scheduled so that 100% of the underlying shares will vest on August 19, 2028, provided Wupen Yuen continues to be a service provider to Lumentum through that date.

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

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Available on EDGAR 08/28/2026 - 09:00 AM Accepted by SEC EDGAR 08/27/2026 - 09:54 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).

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)
08/17/2026

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	08/17/2026		A(1)		22,760	A	$0	100,507(2)	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. The Compensation Committee of the Board of Directors of the Issuer certified achievement of certain performance conditions with respect to performance stock units (PSUs) granted to the Reporting Person on August 19, 2025. The PSUs remain subject to time-based vesting; 100% of the shares shall vest on August 19, 2028, subject to the Reporting Person continuing to be a service provider of the Issuer through such date.

2. The number of shares reported as beneficially owned following the reported transaction is as of August 17, 2026 and prior to other transactions that occurred August 17, 2026 as reported in a Form 4 filed by the Reporting Person on August 18, 2026.

	/s/ Jae Kim as Attorney-in-Fact	08/27/2026
	** 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)