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. is restructuring part of its debt by privately exchanging 0.50% Convertible Senior Notes due 2028 for equity. The company agreed to deliver about 5.0 million shares of common stock in exchange for approximately $650.4 million principal amount of these notes and related conversion value above principal.
This transaction will create incremental dilution of about 0.8 million common shares. After closing, around $172.2 million principal amount of the notes will remain outstanding with unchanged terms. Lumentum will not receive cash; instead, the exchanged notes will be received and cancelled.
The deal is structured as a private placement expected to close on or about June 4, 2026. The shares issued in the exchange rely on a registration exemption under Section 4(a)(2) of the Securities Act and are being offered only to institutional accredited investors or qualified institutional buyers.
Lumentum Holdings Inc. director Ian Small disposed of 4,954 shares of Common Stock on May 21, 2026. The shares were contributed to an exchange fund, giving him the right to receive fund shares at a later date, rather than representing a typical open-market sale.
The contributed Lumentum shares were valued at $868.07 per share, based on the prior Nasdaq closing price used for the exchange. After this transaction, Small directly holds 21,008 Lumentum shares, indicating he retains a meaningful equity position while diversifying through the exchange fund structure.
Lumentum Holdings Inc. president of global business units Wupen Yuen reported an open-market sale of 3,210 shares of common stock at $953.95 per share on May 18, 2026. The filing shows this sale was made under a pre-arranged Rule 10b5-1 trading plan.
Separately, on May 15, 2026, 3,741 shares were withheld by the company to cover income tax obligations tied to vesting of restricted stock units, which is not an open-market sale. After these transactions, Yuen directly holds 81,488 shares of Lumentum common stock.
Lumentum Holdings Inc. officer Vincent Retort reported an open-market sale of 3,183 shares of common stock at $953.9500 per share. A separate disposition of 3,299 shares at $970.7000 covered income tax withholding tied to restricted stock unit vesting. After these transactions, he directly owns 89,563 shares. The sale was executed under a pre-arranged Rule 10b5-1 trading plan.
Lumentum Holdings Inc. SVP and General Counsel Jae Kim reported recent share activity in company stock. On May 18, 2026, Kim executed an open-market sale of 1,422 shares of common stock at $953.95 per share under a pre-arranged Rule 10b5-1 trading plan. On May 15, 2026, 1,416 shares were withheld by the company to cover income tax obligations tied to vesting restricted stock units, a non-market transaction. Following these events, Kim directly holds 32,333 shares of Lumentum common stock, including 57 shares acquired through the Employee Stock Purchase Plan.
Lumentum Holdings Inc. President and CEO Michael E. Hurlston reported a tax-related share disposition linked to equity compensation. On May 15, 2026, 5,438 shares of common stock were withheld by the company to satisfy income tax obligations arising from vesting restricted stock units at $970.70 per share. After this tax-withholding disposition, he directly held 124,417 shares of common stock, which includes 107 shares acquired through the company’s Employee Stock Purchase Plan on May 15, 2026.
Lumentum Holdings Inc. executive vice president and chief financial officer Ali Wajid reported recent stock transactions. On May 18, he completed an open-market sale of 2,487 shares of common stock at an average price of $953.95 per share, under a pre-arranged Rule 10b5-1 trading plan. On May 15, 2,914 shares were withheld by the company to cover income tax obligations tied to vesting restricted stock units, which is not an open-market sale. After these transactions, he directly owned 60,951 common shares.
LITE submitted a Form 144 notice reporting proposed dispositions of common stock by a selling holder. The filing lists 1,365 restricted shares and 57 shares under an Employee Stock Purchase Plan, both dated 05/15/2026, and shows a reported sale by Jae Kim of 1,933 shares on 05/11/2026 with an indicated amount of $1,838,263.67.
The filing is a routine disclosure of planned sales under resale exemptions and employee plans; it does not by itself change the company’s reported operations or capital structure.