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) is the issuer for which Vincent D. Retort, identified as an officer, has filed a notice of proposed sale of common stock under Rule 144. The notice covers 2,483 shares of common stock with an aggregate market value of $2,055,477.06, referencing 89,700,000 shares of common stock outstanding and listing NASDAQ as the trading market. The broker listed is Morgan Stanley Smith Barney LLC Executive Financial Services. The form also reports that during the prior three months, 3,183 shares of common stock were sold for $2,894,715.69.
Lumentum Holdings Inc. (LITE) received a notice that Wupen Yuen intends to sell restricted stock and performance shares under Rule 144. The planned sale covers 1,500 shares of common stock, with an aggregate market value of $1,241,730.00, and is expected around 08/20/2026 through Morgan Stanley Smith Barney LLC on NASDAQ. The shares were acquired from the issuer upon vesting during the period from 07/20/2025 through 08/07/2025. Lumentum reports 89,700,000 shares outstanding of this class.
Lumentum Holdings Inc. (LITE) reported equity compensation activity for officer Wupen Yuen, President, Global Business Units. On August 17, 2026, he acquired 57,103 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 August 15 and 17, 2026, a total of 32,797 shares of Common Stock were withheld by the company to satisfy income tax withholding and remittance obligations related to the vesting of restricted stock units and performance stock units.
Lumentum Holdings Inc. (LITE) reported multiple equity transactions by executive officer Vincent Retort. On August 17, 2026, he acquired 63,956 shares of common stock at $0.00 per share upon satisfaction of performance conditions for previously granted PSUs. On the same date, 32,542 shares and on August 15, 2026, 3,299 shares were withheld to satisfy income tax obligations tied to vesting of PSUs and RSUs. On August 18, 2026, he sold 3,183 shares of common stock at $909.43 per share under a Rule 10b5-1 trading plan adopted on November 13, 2025.
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.