STOCK TITAN
  1. Home
  2. Sec-filings
  3. LITE
  4. [Form 4] Lumentum Holdings Inc. Insider Trading Activity

Lumentum (LITE) RSU Grant and PSU Vesting for Senior Executive

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Wupen Yuen, President, Cloud & Networking at Lumentum Holdings Inc. (LITE), reported equity award activity. On 08/19/2025 the reporting person was granted 22,760 RSUs (restricted stock units) that vest over time: one third after one year and the remainder in eight equal quarterly installments. On 08/21/2025 9,218 shares were acquired upon satisfaction of performance conditions for previously granted PSUs. Also on 08/21/2025, 10,487 shares were withheld to satisfy tax-withholding obligations at a reported withholding price of $117.43 per share. After these transactions the reporting person beneficially owned 97,941 shares of common stock.

Positive

  • None.

Negative

  • None.

Insights

TL;DR Insider equity awards and withholding activity indicate routine compensation-related transactions, not an unusual trading signal.

The filing shows standard equity compensation mechanics: grant of time-based RSUs with multi-year vesting, vesting/settlement of PSUs upon committee determination, and tax-withholding via share retention. These are typical for a senior executive and do not by themselves indicate a change in corporate control, material dilution beyond normal compensation plans, or an unusual disposition of shares. The filing includes the post-transaction beneficial ownership level of 97,941 shares, which helps contextualize the executive's stake.

TL;DR Equity grant structure and PSU vesting align with incentive compensation practices, reflecting ongoing performance- and time-based pay.

The RSU grant vests one-third after one year with quarterly vesting thereafter, which is a common retention design. The 9,218-share acquisition reflects PSUs meeting performance targets set by the Compensation Committee. The 10,487-share withholding to satisfy taxes is routine and reduces outstanding issued shares to the reporting person. No new cash purchases or open-market sales are reported; transactions are compensatory in nature.

Insider Wupen Yuen
Role PRESIDENT, CLOUD & NETWORKING
Type Security Shares Price Value
Grant/Award Common Stock 9,218 $0.00 --
Tax Withholding Common Stock 10,487 $117.43 $1.23M
Grant/Award Common Stock 22,760 $0.00 --
Holdings After Transaction: Common Stock — 108,428 shares (Direct)
Footnotes (1)
  1. 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. 1/3 of the shares shall vest one year from the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter on the 15th of November, February, May and August, 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. Represents the acquisition of shares upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units ("PSUs") granted to the Reporting Person on August 21, 2024. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs and PSUs.
Form 4 Insider Transactions: What Each Field Means →
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 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)
PRESIDENT, CLOUD & NETWORKING
3. Date of Earliest Transaction (Month/Day/Year)
08/19/2025
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 08/19/2025 A(1) 22,760 A $0 99,210 D
Common Stock 08/21/2025 A(2) 9,218 A $0 108,428 D
Common Stock 08/21/2025 F(3) 10,487 D $117.43 97,941 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 securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, following vesting, one share of the Issuer's Common Stock. 1/3 of the shares shall vest one year from the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter on the 15th of November, February, May and August, 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.
2. Represents the acquisition of shares upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units ("PSUs") granted to the Reporting Person on August 21, 2024.
3. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs and PSUs.
/s/ Jae Kim as Attorney-in-Fact 08/21/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What equity transactions did LITE insider Wupen Yuen report on 08/19/2025 and 08/21/2025?

The filing reports a grant of 22,760 RSUs on 08/19/2025, acquisition of 9,218 shares from PSUs on 08/21/2025, and withholding of 10,487 shares for taxes on 08/21/2025.

How do the RSUs granted to Wupen Yuen vest?

The RSUs vest with 1/3 vesting one year from the grant date and the remainder vesting in eight equal quarterly installments on the 15th of November, February, May and August, subject to continued employment.

What price was used for the share withholding reported by the LITE filing?

The shares withheld to satisfy income tax obligations were reported at a price of $117.43 per share.

What is Wupen Yuen's beneficial ownership after these transactions?

Following the reported transactions the filing shows beneficial ownership of 97,941 shares of Lumentum common stock.

Do these Form 4 transactions indicate open-market purchases or sales?

No. The transactions are compensation-related: RSU grants and PSU settlement, with shares withheld to satisfy taxes; no open-market cash purchases or sales are reported.