Welcome to our dedicated page for Lumentum Holdings SEC filings (Ticker: LITE), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Lumentum Holdings Inc.'s SEC filings document operating results, material events, capital-structure actions and governance matters for a photonics and optical communications company. Form 8-K reports furnish quarterly financial results and conference-call materials, as well as securities and charter-related disclosures.
The filings include the completed issuance and sale of Series A Convertible Preferred Stock to NVIDIA and the related certificate of designation, which defines preferred-stock terms and conversion provisions. Proxy materials cover shareholder voting and board governance matters, while exchange-act disclosures identify Lumentum common stock, par value $0.001 per share, trading under LITE on the Nasdaq Global Select Market.
BlackRock, Inc. filed Amendment No. 10 to a Schedule 13G/A reporting beneficial ownership of 5,240,774 shares of HOLDINGS INC common stock (CUSIP 55024U109), representing 7.3% of the class. The filing shows sole voting power for 4,893,942 shares and sole dispositive power for 5,240,774 shares. The amendment is signed by Spencer Fleming on 04/24/2026.
Lumentum Holdings Inc. is exchanging portions of its 0.50% 2026 and 1.50% 2029 Convertible Senior Notes for equity. The company agreed to deliver approximately 5.7 million shares of common stock in privately negotiated deals in return for about $264.8 million principal of 2026 notes, $209.8 million principal of 2029 notes, and related conversion value above principal.
The exchanges will create incremental dilution equivalent to roughly 0.6 million shares of common stock but will significantly reduce outstanding debt. After closing, about $63.1 million of 2026 notes and about $84.5 million of 2029 notes will remain outstanding on unchanged terms. The company will not receive cash; it will cancel the notes it receives. The transactions are structured as a private placement relying on exemptions under Section 4(a)(2) and related rules.
Lumentum Holdings Inc: The Vanguard Group filed Amendment No. 10 to report it beneficially owns 0 shares of Lumentum common stock (CUSIP 55024U109) following an internal realignment effective January 12, 2026 under SEC Release No. 34-39538, which caused certain subsidiaries to report separately.
The filing states 0 voting and dispositive powers and is signed by Ashley Grim, Head of Global Fund Administration, dated 03/27/2026.
Lumentum Holdings Inc. director and officer Harris Isaac Hosojiro reported routine equity compensation activity in Common Stock. He acquired 611 fully vested restricted stock units (RSUs), each representing one share of Common Stock, as a grant with no cash price per share. On the same date, 220 shares were disposed of through shares withheld by the company at a price of $700.91 per share to cover income tax withholding obligations related to the RSU vesting, leaving him with 12,400 shares held directly after these transactions.
Lumentum Holdings Inc. executive vice president and chief financial officer Ali Wajid reported open-market sales of 5,302 shares of common stock on February 27, 2026. The trades were executed in multiple transactions at prices ranging from about $677.705 to $699.495 per share, under a pre-arranged Rule 10b5-1 trading plan adopted on November 28, 2025. Following these sales, Wajid directly owned 66,287 shares of Lumentum common stock.
Lumentum Holdings Inc. entered into a major strategic and financing deal with NVIDIA. On March 2, 2026, Lumentum issued and sold 2,876,415 shares of new Series A Convertible Preferred Stock to NVIDIA at $695.31 per share, raising $2 billion in cash through a private placement.
The preferred shares convert into common stock on a one-for-one basis, at NVIDIA’s option after expiration or termination of the applicable Hart-Scott-Rodino waiting period, or automatically before a qualified sale. The preferred stock carries dividends and voting rights on an as-converted basis, except it does not vote in director elections.
Alongside the investment, NVIDIA and Lumentum signed multi-year strategic agreements that include an NVIDIA multi‑billion purchase commitment, future capacity access rights for advanced laser components, and support for Lumentum’s planned new U.S. fabrication facility focused on advanced optics for AI data centers.
Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 reporting a proposed sale of common stock of LITE for sale on NASDAQ, with the filing dated 02/27/2026. The filing lists restricted stock entries dated 11/15/2025 (2,657 shares) and 02/15/2026 (2,645 shares).
Lumentum Holdings Inc. executive Wupen Yuen, President, Global Business Units, reported two stock transactions in common shares. On February 17, 2026, Yuen executed an open-market sale of 3,157 shares at an average price of 538.0000 per share, leaving 88,439 shares held directly afterward.
On February 15, 2026, 3,481 shares were disposed of at an average price of 562.7400 per share to satisfy income tax withholding and remittance obligations upon vesting of restricted stock units. The sale transaction was carried out under a Rule 10b5-1 trading plan adopted by Yuen on November 5, 2025.
Lumentum Holdings officer Vincent Retort reported selling 3,441 shares of common stock in multiple open-market trades on February 17, 2026 at prices ranging from $530.70 to $557.99 under a Rule 10b5-1 trading plan. A separate 3,039-share transaction on February 15, 2026 covered tax withholding on vested restricted stock units. He now directly holds 95,975 shares of Lumentum common stock.
Lumentum Holdings Inc. senior vice president and general counsel Jae Kim reported a tax-related share disposition. On February 15, 2026, 1,353 shares of common stock were withheld by the company to satisfy income tax obligations arising from the vesting of restricted stock units, coded as a tax-withholding disposition (Code F). After this withholding, Kim directly owned 37,047 shares of Lumentum common stock.