Lumentum legal chief sells 1,904 shares in plan

Lumentum Holdings Inc. (LITE) reported that Jae Kim, its SVP and General Counsel, disposed of common stock in several transactions.

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported that Jae Kim, its SVP and General Counsel, disposed of common stock in several transactions. On August 20, 2026, 1,904 shares were sold at $827.82 per share pursuant to a Rule 10b5-1 trading plan adopted on February 6, 2026. On August 19 and 21, 2026, an additional 1,973 shares and 3,926 shares, respectively, were withheld by the issuer to satisfy income tax withholding obligations arising from the vesting of restricted stock units, rather than sold in the market.

Insider Trade Summary 10b5-1

Net Seller: 1,904 shares

Net Sell 3 txns

Insider Kim Jae

Role SVP, GENERAL COUNSEL

Sold 1,904 shs ($1.58M)

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	3,926	$866.71	$3.40M
Sale	Common Stock F2	1,904	$827.82	$1.58M
Tax Withholding	Common Stock F1	1,973	$827.60	$1.63M

Holdings After Transaction: Common Stock — 38,170 shares (Direct)

Footnotes (2)

1. F1. 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. F2. 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: 1,904 shares of Common Stock Sale price: $827.82 per share Shares withheld for taxes (Aug 19, 2026): 1,973 shares of Common Stock +3 more

6 metrics

Shares sold 1,904 shares of Common Stock Open-market or private sale on August 20, 2026 by Jae Kim

Sale price $827.82 per share Price for 1,904-share sale of Common Stock on August 20, 2026

Shares withheld for taxes (Aug 19, 2026) 1,973 shares of Common Stock Withheld by issuer to satisfy income tax withholding on RSU vesting

Shares withheld for taxes (Aug 21, 2026) 3,926 shares of Common Stock Withheld by issuer to satisfy income tax withholding on RSU vesting

Tax-withholding reference prices $827.60 and $866.71 per share Reference prices for shares withheld on August 19 and 21, 2026

Rule 10b5-1 plan adoption date February 6, 2026 Adoption date of trading plan covering the 1,904-share sale

Key Terms

Rule 10b5-1 trading plan, restricted stock units, income tax withholding and remittance obligations, open market or private transaction

4 terms

Rule 10b5-1 trading plan regulatory

"These shares were sold pursuant to a Rule 10b5-1 trading plan"

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.

income tax withholding and remittance obligations financial

"to satisfy income tax withholding and remittance obligations"

open market or private transaction market

"Sale in open market or private transaction"

FAQ

What insider transactions did Lumentum (LITE) report for Jae Kim in this Form 4?

The Form 4 reports that Jae Kim disposed of 1,904 shares of Lumentum common stock in an open-market sale and had a total of 5,899 shares withheld by the issuer to cover income tax withholding on vesting restricted stock units.

How many Lumentum (LITE) shares did Jae Kim sell in the market and at what price?

Jae Kim sold 1,904 shares of Lumentum common stock on August 20, 2026 at a price of $827.82 per share in a sale described as an open market or private transaction.

Were Jae Kim’s Lumentum (LITE) share sales under a Rule 10b5-1 trading plan?

Yes. The filing states that the 1,904-share sale on August 20, 2026 was made pursuant to a Rule 10b5-1 trading plan adopted by Jae Kim on February 6, 2026, and the document-level Rule 10b5-1 checkbox is marked true.

What do the tax-withholding transactions in this LITE Form 4 represent?

The 1,973 shares on August 19, 2026 and 3,926 shares on August 21, 2026 represent shares that were withheld by Lumentum to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units.

What is Jae Kim’s role at Lumentum (LITE) mentioned in this Form 4?

Jae Kim is identified as an officer of Lumentum, serving as SVP, General Counsel, and is the reporting person for the share sale and tax-withholding transactions disclosed in this Form 4.

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Available on EDGAR 08/21/2026 - 08:41 PM Accepted by SEC EDGAR 08/21/2026 - 08:41 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).

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 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)
08/19/2026

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	08/19/2026		F(1)		1,973	D	$827.6	44,000	D
Common Stock	08/20/2026		S(2)		1,904	D	$827.82	42,096	D
Common Stock	08/21/2026		F(1)		3,926	D	$866.71	38,170	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 6, 2026.

	/s/ Jae Kim	08/21/2026
	** 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)