[Form 4] Lumentum Holdings Inc. Insider Trading Activity

Rhea-AI Filing Summary

Insider transactions by Jae Kim at Lumentum Holdings (LITE): The reporting person, SVP and General Counsel Jae Kim, sold a total of 4,507 shares of Lumentum common stock on 08/22/2025 in two sets of sales (3,407 and 1,100 shares) under a Rule 10b5-1 plan at weighted average prices of $116.7274 and $117.3564, respectively. On 08/23/2025 the reporting person was credited with 7,715 restricted stock units (RSUs) that convert to common shares upon vesting, bringing the reported beneficial ownership to 41,180 shares. The RSUs vest 100% on August 23, 2026, subject to continued employment.

Positive

• Received 7,715 RSUs that vest 100% on August 23, 2026, aligning the reporting person’s interests with long-term shareholder outcomes
• Sales executed under a Rule 10b5-1 plan, which provides an affirmative defense and indicates preplanned disposition timing

Negative

• Sold 4,507 shares on 08/22/2025, reducing immediate direct holdings (sales executed at weighted average prices of $116.7274 and $117.3564)
• Reported beneficial ownership remains modest at 41,180 shares after transactions (no additional indirect holdings disclosed)

Insights

Corporate Governance Expert

TL;DR: Insider sold shares under a 10b5-1 plan and received an RSU award vesting in one year; transaction is routine but worth monitoring.

The Form 4 shows Jae Kim executed preplanned sales under a Rule 10b5-1 trading plan adopted February 11, 2025, with weighted average sale prices reported and an undertaking to provide trade-level detail if requested. The grant of 7,715 RSUs, vesting 100% on August 23, 2026, is a standard equity compensation event that increases reported beneficial ownership when converted. From a governance perspective, the presence of a 10b5-1 plan clarifies the timing of sales and reduces concerns about selective insider timing, while the RSU grant aligns the officer's interests with long-term shareholder value.

Securities Analyst

TL;DR: Sales and a compensatory RSU award offset to leave reported beneficial ownership at 41,180 shares; transactions appear procedural, not material financial news.

Quantitatively, the Form 4 reports sales of 3,407 and 1,100 shares executed at weighted average prices in the $116.24–$117.60 range and a contemporaneous grant of 7,715 RSUs that vest in one year. The reporting person discloses willingness to provide full trade details to regulators or shareholders, suggesting no omission of execution prices. For market impact, these filings are routine executive compensation and preplanned disposition activity rather than operational developments affecting company fundamentals.

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^*

Kim Jae

(Last) (First) (Middle)

C/O LUMENTUM HOLDINGS INC.

1001 RIDDER PARK DRIVE

(Street)

SAN JOSE CA 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)

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

3. Date of Earliest Transaction (Month/Day/Year)
08/22/2025

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/22/2025		S(1)		3,407	D	$116.7274(2)	34,565	D
Common Stock	08/22/2025		S(1)		1,100	D	$117.3564(3)	33,465	D
Common Stock	08/23/2025		A(4)		7,715	A	$0	41,180	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 February 11, 2025.

2. These sales were executed in multiple trades at prices ranging from $116.24 to $117.18. 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.

3. These sales were executed in multiple trades at prices ranging from $117.25 to $117.60. 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.

4. 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. 100% of the shares shall vest August 23, 2026, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan.

	/s/ Jae Kim	08/26/2025
	** 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.

FAQ

What transactions did Jae Kim report on the Lumentum (LITE) Form 4?

The Form 4 reports sales of 3,407 and 1,100 shares on 08/22/2025 and the grant of 7,715 RSUs on 08/23/2025.

Were the share sales by the LITE reporting person part of a preplanned program?

Yes. The sales were executed pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 11, 2025.

At what prices were the LITE shares sold?

Sales were executed in multiple trades with prices ranging $116.24 to $117.18 for the 3,407-share lot and $117.25 to $117.60 for the 1,100-share lot; weighted averages reported are $116.7274 and $117.3564.

When do the RSUs reported in the Form 4 vest?

The 7,715 restricted stock units vest 100% on August 23, 2026, subject to continued employment or plan terms.

What is the reporting person’s beneficial ownership after these transactions?

The Form 4 reports 41,180 shares beneficially owned following the reported transactions.

Will the reporting person provide detailed trade-level information?

Yes. The reporting person stated they will provide full information regarding the number of shares and prices upon request to the SEC staff, the issuer, or a security holder.