Lumentum director awarded 108 RSUs as stock grant

HERSCHER PENNY reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

HERSCHER PENNY reported acquisition or exercise transactions in this Form 4 filing.

Lumentum Holdings Inc. director Penny Herscher received a grant of 108 restricted stock units (RSUs), each representing one share of common stock, as compensation in lieu of her annual cash retainer. The RSUs vest 100% on July 15, 2027, subject to her continued service. Following this award she holds 2,165 shares directly, plus 39,378 shares held indirectly through the 2001 Herscher Family Trust.

Insider Trade Summary

Grant/Award: 108 shares

Grant/Award 2 txns

Insider HERSCHER PENNY

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	108	$0.00	$0.00
holding	Common Stock F2	--	--	--

Holdings After Transaction: Common Stock — 2,165 shares (Direct); Common Stock — 39,378 shares (Indirect, Living Trust)

Footnotes (2)

1. F1. Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on July 15, 2027, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2025 Equity Incentive Plan. The RSUs were granted to the Reporting Person in lieu of the annual cash retainer, at the election of the Reporting Person, under the Issuer's compensation program for non-employee directors.
2. F2. These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.

Key Figures

RSUs granted: 108 RSUs Direct shares after grant: 2,165 shares Indirect shares via trust: 39,378 shares +2 more

5 metrics

RSUs granted 108 RSUs Grant, award, or other acquisition on 2026-07-15

Direct shares after grant 2,165 shares Total common stock held directly following RSU grant

Indirect shares via trust 39,378 shares Common stock held indirectly in 2001 Herscher Family Trust

RSU vesting date July 15, 2027 100% of the RSUs vest on this date, subject to continued service

Transaction price per share $0.0000 per share Equity award granted with no cash consideration

Key Terms

restricted stock unit (RSU), Service Provider, 2025 Equity Incentive Plan, annual cash retainer, +1 more

5 terms

restricted stock unit (RSU) financial

"Each share is represented by a restricted stock unit (RSU)."

A restricted stock unit (RSU) is a promise from a company to give an employee company shares (or cash equal to their value) at a future date if certain conditions are met, such as staying with the company or hitting performance targets. For investors, RSUs matter because when they convert into actual shares they increase the number of shares available and can create selling pressure as employees cash out—think of them as a future paycheck paid in company stock.

Service Provider financial

"subject to the Reporting Person continuing through such date as a Service Provider"

2025 Equity Incentive Plan financial

"under the Issuer's 2025 Equity Incentive Plan."

annual cash retainer financial

"granted to the Reporting Person in lieu of the annual cash retainer"

Living Trust financial

"These shares are held by ... 2001 Herscher Family Trust"

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Accepted by SEC EDGAR 07/16/2026 - 08:14 PM EDT 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^*

HERSCHER PENNY

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/15/2026

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	07/15/2026		A		108(1)	A	$0	2,165	D
Common Stock								39,378	I	Living Trust(2)

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. Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on July 15, 2027, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2025 Equity Incentive Plan. The RSUs were granted to the Reporting Person in lieu of the annual cash retainer, at the election of the Reporting Person, under the Issuer's compensation program for non-employee directors.

2. These shares are held by Bret Anders Herscher and Penelope Ann Herscher TTEES 2001 Herscher Family Trust U/A/D 6/14/2001.

	/s/ Jae Kim as Attorney-in-Fact	07/16/2026
	** 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)