[Form 4] Lumentum Holdings Inc. Insider Trading Activity

Rhea-AI Filing Summary

Wupen Yuen, President, Cloud & Networking at Lumentum Holdings Inc. (LITE), reported two transactions. On 08/23/2025 the reporting person was granted 13,177 restricted stock units (RSUs) that vest 100% on 08/23/2026, each convertible into one share on vesting. On 08/25/2025 the reporting person sold 3,282 shares at $119.25 per share under a Rule 10b5-1 trading plan adopted 02/11/2025. Beneficial ownership is reported as 111,118 shares after the RSU grant and 107,836 shares following the sale. The Form 4 was executed by an attorney-in-fact on 08/26/2025.

Positive

• 13,177 RSUs granted with clear vesting date of 08/23/2026, aligning compensation with continued employment
• Disposition executed under a Rule 10b5‑1 trading plan adopted 02/11/2025, indicating a pre‑planned sale
• Reporting person retains a beneficial stake above 100,000 shares after the transactions (107,836 shares)

Negative

• 3,282 shares sold, reducing immediate beneficial ownership from 111,118 to 107,836
• RSU grant will dilute outstanding shares when vested and issued, subject to plan terms

Insights

Corporate Governance Expert

TL;DR: Officer received time‑based RSUs and sold a smaller block under a pre‑established 10b5‑1 plan.

The filings show a standard equity compensation grant and an orderly disposition. The 13,177 RSU grant vests fully one year later, aligning executive incentives to continued employment. The 3,282‑share sale was executed under a Rule 10b5‑1 plan adopted 02/11/2025, which generally reduces concerns about opportunistic insider trading. These are routine governance actions rather than extraordinary events.

Securities Analyst

TL;DR: Net holdings remain material (>100k shares); transactions are compensation and planned sale, not an ad hoc disposition.

The RSU award increases potential future dilution when vested shares are issued, while the sale of 3,282 shares at $119.25 reduces current beneficial ownership to 107,836 shares. Both items are disclosed clearly and include vesting and plan dates, allowing investors to quantify near‑term changes to insider holdings.

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^*

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)
08/23/2025

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	08/23/2025		A(1)		13,177	A	$0	111,118	D
Common Stock	08/25/2025		S(2)		3,282	D	$119.25	107,836	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. 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.

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 as Attorney-in-Fact	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 the LITE insider report on Form 4?

The Form 4 reports a grant of 13,177 RSUs on 08/23/2025 and a sale of 3,282 shares on 08/25/2025 at $119.25 per share.

When do the granted RSUs vest for the Lumentum insider?

The RSUs vest 100% on 08/23/2026, subject to continued employment or the issuer's plan provisions.

Was the share sale an ad hoc trade or part of a plan?

The sale was executed pursuant to a Rule 10b5‑1 trading plan adopted by the reporting person on 02/11/2025.

How many shares does the reporting person beneficially own after these transactions?

Beneficial ownership is reported as 111,118 shares following the RSU grant and 107,836 shares after the sale.

What is the reporting person's role at Lumentum?

The reporting person is identified as President, Cloud & Networking and is an officer of Lumentum Holdings Inc.