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.
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.
Chang Eric reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. reported that officer Eric Chang received a grant of 5,006 restricted stock units (RSUs) of common stock. The award carries no cash purchase price, reflecting equity-based compensation rather than an open-market buy.
Each RSU represents a right to receive one share of common stock after vesting. One quarter of the award will vest one year from the grant date, and the remaining RSUs will vest in 12 equal quarterly installments on the 15th of May, August, November, and February, as long as Chang remains an employee or as otherwise provided under Lumentum’s 2025 Equity Incentive Plan.
Lumentum Holdings Inc. executive vice president and chief financial officer Ali Wajid reported a tax-related share disposition. On this Form 4, he disposed of 2,755 shares of common stock at a reported price of $562.74 per share through a transaction coded “F,” which is used when shares are withheld to cover income tax obligations. A footnote explains the shares were withheld by the company to satisfy income tax withholding and remittance tied to vesting of restricted stock units, rather than an open-market sale. After this transaction, Wajid still directly holds 71,589 shares of Lumentum common stock.
Matthew Sepe filed a Rule 144 notice for a proposed sale of 2,705 shares of common stock, with an aggregate value listed as $1,599,196.00, dated 02/17/2026.
The filing also shows the securities are restricted stock dated 11/15/2025 and lists Morgan Stanley Smith Barney LLC as the broker-dealer. No further proceeds use or timing details are provided in the excerpt.
An affiliate of LITE filed a notice of proposed sale under Rule 144 for 2,705 shares of common stock through Morgan Stanley Smith Barney LLC on NASDAQ. The filing lists an aggregate market value of $1,599,196.00 for these shares and notes 71,400,000 common shares outstanding in the same class.
The shares to be sold were acquired as restricted stock from the issuer, including 1,755 shares dated February 15, 2026 and 950 shares dated January 15, 2026, with payment described as not applicable, consistent with equity awards.
An affiliated shareholder of the issuer filed a Rule 144 notice indicating an intent to sell 3,441 shares of common stock through Morgan Stanley Smith Barney LLC on or around February 17, 2026 on the NASDAQ market. The planned sale has an stated aggregate market value of $1,878,025.40 and the issuer had 71,400,000 common shares outstanding at the time referenced.
The filing states these 3,441 shares were acquired as restricted stock from the issuer on February 15, 2026. It also discloses that Vincent D. Retort sold 45,026 common shares in the past three months for gross proceeds of $26,624,903.16. The signer represents they are not aware of undisclosed material adverse information about the issuer.
Wupen Yuen filed a notice to sell 3,157 shares of LITE common stock under Rule 144. The planned sale through Morgan Stanley Smith Barney LLC has an aggregate market value of $1,698,466.00, with the shares listed on NASDAQ.
The issuer had 71,400,000 shares of this class outstanding. The 3,157 shares were acquired as restricted stock from the issuer on 02/15/2025. In the prior three months, Yuen sold 822 and 821 common shares, with gross proceeds of $212,865.12 and $201,966.00, respectively.
Lumentum Holdings Inc. executive Vincent Retort, Executive Vice President for the Module Business Unit R&D and Product Development, reported a series of open-market sales of common stock on February 12, 2026. The transactions were coded as sales and executed at prices ranging from about $575.80 to $602.19 per share, across multiple trades.
The filing states these shares were sold under a pre-established Rule 10b5-1 trading plan adopted on November 13, 2025. Following the reported sales, Retort directly held 102,455 shares of Lumentum common stock.
Penny Herscher, a director of Lumentum Holdings Inc., reported a series of open-market sales of the company’s common stock on February 12, 2026. The transactions were coded as open-market sales, with individual trade sizes ranging from 159 to 1,037 shares.
The weighted average sale prices disclosed for these trades ranged from $594.4192 to $602.63 per share, with detailed price ranges provided in the footnotes. Following the reported sales, Herscher directly holds 2,057 shares of Lumentum common stock and indirectly holds 39,378 shares through the 2001 Herscher Family Trust.