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 Inc. (LITE) reporting person Vincent Retort, listed as President, Industrial Tech., acquired 14,758 restricted stock units (RSUs) on 08/23/2025. Each RSU vests into one share and 100% of the award vests on 08/23/2026, subject to continued employment and the Issuer's 2015 Equity Incentive Plan.
After the reported grant the reporting person beneficially owns 150,671 shares (directly held). The transaction was reported on 08/26/2025 and was signed by an attorney-in-fact on behalf of the reporting person.
Insider transactions by Jae Kim at Lumentum Holdings (LITE): The reporting person, SVP and General Counsel Jae Kim, sold a total of 4,507 shares of Lumentum common stock on 08/22/2025 in two sets of sales (3,407 and 1,100 shares) under a Rule 10b5-1 plan at weighted average prices of $116.7274 and $117.3564, respectively. On 08/23/2025 the reporting person was credited with 7,715 restricted stock units (RSUs) that convert to common shares upon vesting, bringing the reported beneficial ownership to 41,180 shares. The RSUs vest 100% on August 23, 2026, subject to continued employment.
Lumentum Holdings Inc. (LITE) reported an insider acquisition by EVP & Chief Financial Officer Ali Wajid. On 08/23/2025 the reporting person was granted 12,298 restricted stock units (RSUs) at a reported price of $0, which represent contingent rights to receive one share each upon vesting. Following the grant, the reporting person beneficially owns 79,613 shares in total. The RSUs vest 100% on August 23, 2026, subject to continued employment and the Issuer's 2015 Equity Incentive Plan. The Form 4 was signed on behalf of the reporting person by an attorney-in-fact on 08/26/2025.
Lumentum Holdings Inc. (LITE) Rule 144 notice: An insider has filed a proposed sale of 2,526 common shares through Morgan Stanley Smith Barney LLC on Nasdaq with an aggregate market value of $314,209.14, with an approximate sale date of 08/26/2025. The shares were acquired as performance shares from the issuer on 08/07/2025 and payment/vesting is recorded on that same date. The filer also reported two recent sales in the last three months: 2,222 common shares sold on 08/18/2025 for $258,751.90 and 2,222 common shares sold on 06/04/2025 for $185,714.76. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information about the issuer.
Form 144 notice for Lumentum Holdings Inc. (LITE) reports a proposed sale of 3,282 common shares through Morgan Stanley Smith Barney with an aggregate market value of $408,247.98, approximately to be sold on 08/26/2025 on NASDAQ. The shares were acquired on 08/23/2024 as restricted stock from the issuer and the filing lists prior sales by the same beneficial owner totaling multiple small blocks between 07/21/2025 and 08/25/2025. The form includes the seller's representation that they do not possess undisclosed material adverse information and notes the broker contact details for the transaction.
Form 144 notice for Lumentum Holdings Inc. (LITE) reporting a proposed sale of 3,282 shares of common stock valued at $391,378.50 to be sold on or about 08/25/2025 on NASDAQ through Morgan Stanley Smith Barney LLC Executive Financial Services. The shares were acquired as restricted stock from the issuer on 08/23/2024 and payment was recorded the same day. The filer also reported multiple recent sales by Wupen Yuen between 07/21/2025 and 08/19/2025, totaling several hundred shares with gross proceeds listed for each sale.
Lumentum Holdings Inc. (LITE) filed a Form 144 disclosing a proposed sale of 4,507 shares of common stock through Morgan Stanley Smith Barney, with an aggregate market value of $526,781.77, expected to occur on 08/22/2025 on NASDAQ. The shares were acquired as restricted stock from the issuer on 08/21/2025 and payment was recorded on the same date. The filing also reports a separate sale within the past three months: Jae Kim sold 912 shares on 08/18/2025 for gross proceeds of $106,202.40. The filer attests they are not aware of undisclosed material adverse information about the issuer.
Michael E. Hurlston, President and CEO and a Director of Lumentum Holdings Inc. (LITE), reported an acquisition of 34,393 restricted stock units (RSUs) on 08/19/2025. Each RSU represents a contingent right to receive one share of the issuer's common stock following vesting. After this grant the reporting person beneficially owns 149,597 shares in total. The RSUs vest with one-third of the shares vesting one year from the grant date and the remaining shares vesting in eight equal quarterly installments thereafter on the 15th of November, February, May and August, subject to continued employment and the issuer’s 2015 Equity Incentive Plan. The Form 4 was signed on behalf of the reporting person by an attorney-in-fact.
Wupen Yuen, President, Cloud & Networking at Lumentum Holdings Inc. (LITE), reported equity award activity. On 08/19/2025 the reporting person was granted 22,760 RSUs (restricted stock units) that vest over time: one third after one year and the remainder in eight equal quarterly installments. On 08/21/2025 9,218 shares were acquired upon satisfaction of performance conditions for previously granted PSUs. Also on 08/21/2025, 10,487 shares were withheld to satisfy tax-withholding obligations at a reported withholding price of $117.43 per share. After these transactions the reporting person beneficially owned 97,941 shares of common stock.
Matthew Joseph Sepe, Chief Accounting Officer of Lumentum Holdings Inc. (LITE), reported equity activity reflecting compensation vesting and tax withholding. He received 5,057 restricted stock units (RSUs) that vest one year after grant and an additional 4,519 shares from performance stock units (PSUs) after the Compensation Committee determined performance conditions were met. The reporting shows 4,309 shares were withheld by the issuer to satisfy income tax obligations at a reported price of $117.43 per share. Following these transactions the reporting person’s beneficial ownership is reported as 42,858 shares.