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.
Lumentum Holdings Inc. (LITE) reported multiple equity transactions by SVP and General Counsel Jae Kim involving common stock. On August 17, 2026, Kim acquired 33,433 shares upon Compensation Committee determination that performance conditions for previously granted PSUs were met, and on August 15 and 17 a total of 18,427 shares were withheld by the company to cover income tax obligations tied to vesting RSUs and PSUs. On August 18, 2026, Kim sold 1,366 shares at $909.43 per share pursuant to a Rule 10b5-1 trading plan adopted on February 6, 2026.
Lumentum Holdings Inc. (LITE) reported that President and CEO Michael E. Hurlston had 5,438 shares of common stock withheld on 2026-08-15 under code F, at a reported price of $926.14 per share. According to the footnote, these shares were withheld by the issuer to satisfy income tax withholding and remittance obligations triggered by the vesting of restricted stock units. After this tax-withholding disposition, Hurlston’s directly held common stock position was 118,979 shares.
Lumentum Holdings Inc. (LITE) reported equity compensation activity for EVP & Chief Financial Officer Ali Wajid. On August 17, 2026, he acquired 53,296 shares of common stock at $0.00 per share upon the Compensation Committee’s determination that performance conditions for previously granted performance stock units were met. On the same date, 28,754 shares, and on August 15, 2026, 2,914 shares, were withheld by the company to satisfy income tax withholding and remittance obligations related to vesting of restricted stock units and performance stock units.
Lumentum Holdings Inc. (LITE) received a Rule 144 notice from stockholder Jae Kim covering a proposed sale of common stock. The notice lists Morgan Stanley Smith Barney LLC as broker and contemplates the sale of 1,366 shares of Lumentum common stock, with an aggregate market value of $1,242,281.38.
The notice states that the security is restricted stock acquired from the issuer on 08/15/2026, with an approximate sale date of 08/18/2026 on NASDAQ. Shares outstanding were reported as 89,700,000, a baseline figure distinct from the shares covered by this planned sale.
Lumentum Holdings Inc. (LITE) received a notice under Rule 144 for a proposed sale of its common stock by officer Vincent D. Retort. The filing lists up to 3,183 shares of common stock to be sold through Morgan Stanley Smith Barney LLC, with an approximate sale date of 08/18/2026 on NASDAQ. The shares have an aggregate market value of 2,894,715.69, and common shares outstanding are reported as 89,700,000, which is a baseline figure, not the amount being sold.
Lumentum Holdings Inc. is a Delaware-based provider of optical and photonic products used in cloud, AI/ML, telecommunications, industrial and consumer electronics applications. It operates as a single integrated segment, selling components and systems such as lasers, optical transceivers, ROADMs, industrial lasers and 3D-sensing light sources.
Demand is driven by data-center and AI infrastructure, high-speed fiber networks, 5G, and precision industrial manufacturing, with significant long-term growth trends but notable cyclicality from customer inventory swings and supply constraints. The company has expanded via acquisitions including Oclaro, NeoPhotonics and Cloud Light, and continues to invest heavily in R&D for higher-speed datacom, coherent optics, optical circuit switching and advanced industrial lasers.
Operations and sales are highly international, with most revenue shipped outside the U.S. and substantial manufacturing in North America, Asia-Pacific and Europe. Key risks include reliance on a few large customers and suppliers, export controls (including a complete halt of business with Huawei), tariffs and trade restrictions, supply-chain shortages, macroeconomic volatility, geopolitical tensions, and complex regulatory and environmental requirements.
Lumentum Holdings Inc. reported strong growth for the quarter and year ended June 27, 2026, while recording a large GAAP loss driven by a financing transaction. Fiscal Q4 net revenue was $1.01 billion, up sharply from $808.4 million in Q3 and $480.7 million a year earlier. GAAP gross margin was 47.4% and GAAP operating margin was 27.8%, but GAAP net loss was $7.2 billion, or $(84.65) per diluted share, primarily due to a one-time, non-cash $7.8 billion loss on debt extinguishment from equitizing portions of convertible notes.
On a non-GAAP basis, Q4 net income was $326.3 million, or $3.23 per diluted share, with non-GAAP gross margin of 50.4% and operating margin of 36.6%. Full-year 2026 net revenue was $3.01 billion, up 83.2% year over year, with non-GAAP net income of $782.3 million versus $146.4 million in 2025. Cash, cash equivalents, and short-term investments totaled $2.7 billion at year-end.
For Q1 fiscal 2027, the company forecasts net revenue of $1.225–$1.275 billion, non-GAAP operating margin of 39.5–40.5%, and non-GAAP diluted EPS of $4.05–$4.35, citing AI-driven demand for its optical and photonic solutions.
Lumentum Holdings Inc. reported that Vincent Retort, Executive Vice President, Global Reliability & Quality, informed the company on July 27, 2026 of his planned retirement, which will be effective in October 2026. After retiring, he will provide consulting services to the company for a two-year Consulting Term. In exchange for these services, his outstanding equity awards will continue to vest during the Consulting Term under their existing vesting schedules, provided he continues as a service provider to the company.
Thad Trent reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. granted director Thad Trent 108 restricted stock units (RSUs) on July 15, 2026. Each RSU represents the contingent right to receive one share of common stock after vesting. All RSUs vest on July 15, 2027, and his reported direct holdings after the grant are 1,313 shares.
Small Ian reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. director Ian Small received a grant of 108 restricted stock units (RSUs) on July 15, 2026, each representing the right to receive one future share of common stock. The RSUs vest 100% on July 15, 2027, contingent on continued service, and were granted in lieu of his annual cash retainer under the non-employee director compensation program. Following this grant, he holds 21,116 common shares directly.