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  4. [Form 4] Lumentum Holdings Inc. Insider Trading Activity

Lumentum Holdings (LITE) grants 5,138 RSUs to president

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

Rhea-AI Filing Summary

Lumentum Holdings Inc. (LITE) reported insider activity by Wupen Yuen, President, Global Business Units. On August 25, 2026, Yuen received a grant of 5,138 restricted stock units (RSUs), which vest over time subject to continued employment under the 2025 Equity Incentive Plan. On August 27, 2026, Yuen sold 500 shares of common stock at $958.66 per share in a transaction executed pursuant to a Rule 10b5-1 trading plan adopted on May 19, 2026.

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Insights

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Insider Wupen Yuen
Role PRESIDENT, GLOBAL BUS. UNITS
Sold 500 shs ($479K)
Type Security Shares Price Value
Sale Common Stock F3 500 $958.66 $479K
Grant/Award Common Stock F1, F2 5,138 $0.00 $0.00
Holdings After Transaction: Common Stock — 119,127 shares (Direct)
Footnotes (3)
  1. F1. 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 2025 Equity Incentive Plan.
  2. F2. The number of shares reported as beneficially owned following the reported transaction is as of August 25, 2026 and prior to other transactions that occurred August 25, 2026 and August 26, 2026 as reported in a Form 4 filed by the Reporting Person on August 26, 2026.
  3. F3. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.
Shares sold 500 shares of Common Stock Sale on August 27, 2026 by Wupen Yuen
Sale price per share $958.66 per share August 27, 2026 sale of 500 shares
RSU grant 5,138 RSUs Grant on August 25, 2026 under 2025 Equity Incentive Plan
RSU vesting schedule 1/3 after one year; remaining in 8 equal quarterly installments Vesting dates on 15th of November, February, May and August, subject to employment
10b5-1 adoption date May 19, 2026 Adoption of Rule 10b5-1 trading plan for the 500-share sale
restricted stock units ("RSUs") financial
"These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right"
Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.
Rule 10b5-1 trading plan regulatory
"These shares were sold pursuant to a Rule 10b5-1 trading plan adopted"
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.
2025 Equity Incentive Plan financial
"as provided under the Issuer's 2025 Equity Incentive Plan."

FAQ

What insider transactions did LITE report for Wupen Yuen on this Form 4?
The filing reports a grant of 5,138 RSUs on August 25, 2026, and a sale of 500 shares of Lumentum Holdings Inc. common stock on August 27, 2026, by Wupen Yuen, President, Global Business Units.

What are the vesting terms of the 5,138 RSUs granted to Wupen Yuen at LITE?
The 5,138 RSUs vest as follows: 1/3 of the shares vest one year from the grant date, and the remaining shares vest in eight equal quarterly installments on the 15th of November, February, May, and August, subject to continued employment or as provided under the 2025 Equity Incentive Plan.

At what price were LITE shares sold in Wupen Yuen’s August 27, 2026 transaction?
On August 27, 2026, 500 shares of Lumentum Holdings Inc. common stock were sold at a price of $958.66 per share, as reported in the Form 4.

Was Wupen Yuen’s sale of LITE shares made under a Rule 10b5-1 trading plan?
Yes. The Form 4 states that the 500-share sale on August 27, 2026 was made pursuant to a Rule 10b5-1 trading plan adopted by Wupen Yuen on May 19, 2026.

What role does Wupen Yuen hold at Lumentum Holdings Inc. (LITE)?
The reporting person, Wupen Yuen, is identified as an officer of Lumentum Holdings Inc. with the title President, Global Business Units.

Under which plan were the RSUs granted to Wupen Yuen at LITE?
The 5,138 RSUs granted to Wupen Yuen on August 25, 2026 are issued under Lumentum Holdings Inc.’s 2025 Equity Incentive Plan, as described in the Form 4 footnotes.

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SEC Form 4
FORM 4UNITED 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 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
PRESIDENT, GLOBAL BUS. UNITS
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/25/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock08/25/2026A(1)5,138A$0120,627(2)D
Common Stock08/27/2026S(3)500D$958.66119,127D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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 2025 Equity Incentive Plan.
2. The number of shares reported as beneficially owned following the reported transaction is as of August 25, 2026 and prior to other transactions that occurred August 25, 2026 and August 26, 2026 as reported in a Form 4 filed by the Reporting Person on August 26, 2026.
3. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.
/s/ Jae Kim as Attorney-in-Fact08/27/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR