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. 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.
Lillie Brian reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. reported that director Brian Lillie received a grant of 108 restricted stock units, each representing one share of common stock. The RSUs vest 100% on July 15, 2027, contingent on his continued service, and were taken in lieu of the annual cash retainer. Following this award, Lillie directly holds 14,018 shares.
Johnson Julia Suzanne reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. reported that director Julia Suzanne Johnson received a grant of 108 restricted stock units (RSUs) on July 15, 2026, in lieu of her annual cash retainer under the 2025 Equity Incentive Plan. All RSUs vest on July 15, 2027, contingent on continued service. Following this award, her direct holdings are reported at 13,428 shares of common stock.
HERSCHER PENNY reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. director Penny Herscher received a grant of 108 restricted stock units (RSUs), each representing one share of common stock, as compensation in lieu of her annual cash retainer. The RSUs vest 100% on July 15, 2027, subject to her continued service. Following this award she holds 2,165 shares directly, plus 39,378 shares held indirectly through the 2001 Herscher Family Trust.
Fletcher Pamela reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. director Pamela Fletcher received a grant of 108 restricted stock units (RSUs), each representing a contingent right to one share of common stock. The RSUs will vest 100% on July 15, 2027, subject to her continued service under Lumentum’s 2025 Equity Incentive Plan.
The award was taken in lieu of the annual cash retainer under the company’s compensation program for non-employee directors. Following this grant, Fletcher’s direct holdings total 7,514 common stock-equivalent shares.
FMR LLC files Amendment No. 9 to a Schedule 13G/A reporting beneficial ownership of 3,611,651.58 shares of HLDGS INC common stock. The filing states this position represents 4.6% of the class and lists CUSIP 55024U109.
The cover shows FMR LLC holds sole dispositive power for 3,611,651.58 shares and sole voting power of 3,316,699.88; Abigail P. Johnson is named with dispositive power for the same 3,611,651.58 share total. The filing is signed under a power of attorney dated April 13, 2026.
Lumentum Holdings Inc. director Isaac Hosojiro Harris reported routine equity compensation activity involving restricted stock units (RSUs) and related tax withholding. On March 31, 2026, he received 374 shares of Common Stock as a fully vested RSU award and had 125 shares withheld by the issuer to cover income tax obligations tied to RSU vesting.
On April 30, 2026, he received an additional 320 RSU-related shares and had 145 shares withheld for taxes. On May 29, 2026, he received 258 RSU-related shares and had 125 shares withheld for taxes. Following the May 29 activity, he beneficially owned 13,082 shares of Common Stock as of that date, before a separate 4,000-share stock sale reported in a different Form 4 filed on June 1, 2026.