[Form 4] Lumentum Holdings Inc. Insider Trading Activity

Rhea-AI Filing Summary

Jae Kim, SVP and General Counsel of Lumentum Holdings Inc. (LITE), reported two transactions reducing his common stock holdings. On 08/15/2025 802 shares were withheld by the issuer to satisfy income tax withholding related to restricted stock unit vesting at a price of $115.86, leaving 30,732 shares beneficially owned. On 08/18/2025 he sold 912 shares under a Rule 10b5-1 trading plan adopted on February 11, 2025, at $116.45, leaving 29,820 shares beneficially owned.

The Form 4 is signed and dated 08/19/2025 and identifies the filer as an officer (SVP, General Counsel). The filing includes an explanation that the withholding satisfied tax obligations and that the sale was executed pursuant to the 10b5-1 plan.

Positive

• Transparent disclosure of RSU tax withholding and subsequent sale, filed on Form 4
• Sale executed under a Rule 10b5-1 trading plan adopted February 11, 2025, indicating pre-established intent and affirmative defense conditions

Negative

• Insider sale of 912 shares on 08/18/2025, reducing beneficial ownership to 29,820 shares

Insights

Securities Analyst

TL;DR: Routine insider tax-withholding and 10b5-1 sale; no material change to control.

The reported transactions are standard: 802 shares withheld for RSU tax obligations and a 912-share sale executed under a pre-existing Rule 10b5-1 plan. The sizes are small relative to typical market-capitalization-holder positions and the filing shows compliance with disclosure rules. There is no indication of additional derivative activity or change in officer status in this Form 4.

Corporate Governance Expert

TL;DR: Disclosure aligns with good governance—insider used 10b5-1 plan and reported tax withholding.

The filing documents appropriate use of an affirmative defense trading plan and transparently reports withholding for RSU vesting, which supports routine governance practices. The reporting person is identified as an officer and signed the Form 4, meeting Section 16 disclosure expectations. Transactions disclosed appear procedural rather than signaling governance or control shifts.

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)
08/15/2025

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	08/15/2025		F(1)		802	D	$115.86	30,732	D
Common Stock	08/18/2025		S(2)		912	D	$116.45	29,820	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. 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. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025.

	/s/ Jae Kim	08/19/2025
	** 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 Form 4 for LITE?

The Form 4 reports 802 shares withheld for RSU tax withholding on 08/15/2025 at $115.86 and a sale of 912 shares on 08/18/2025 at $116.45.

Was the 08/18/2025 sale by Jae Kim part of a 10b5-1 plan?

Yes. The filing states the shares sold on 08/18/2025 were sold pursuant to a Rule 10b5-1 trading plan adopted on February 11, 2025.

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

After the transactions reported, the Form 4 shows 29,820 shares beneficially owned.

Why were 802 shares withheld on 08/15/2025?

The filing explains those 802 shares were withheld by the issuer to satisfy income tax withholding and remittance obligations from RSU vesting.

Who signed the Form 4 and when?

The Form 4 was signed by /s/ Jae Kim with a signature date of 08/19/2025.