Notice of Proposed Sale · 144
Lumentum Holdings Inc.
LITENASDAQEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- LUMENTUM HOLDINGS INC.
- Issuer CIK
- 0001633978
- SEC file number
- 001-36861
- Phone
- (408) 546-5483
- Person for whose account securities are to be sold
- WUPEN YUEN
- Relationships to issuer
- Officer
- Street
- 1001 Ridder Park Drive
- City
- San Jose
- State / country code
- CA
- Postal code
- 95131
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 1,500 | 1,241,730.00 | 89,700,000 | 08/20/2026 | NASDAQ | Morgan Stanley Smith Barney LLC Executive Financial Services |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley Smith Barney LLC Executive Financial Services
- Street
- 1 New York Plaza
- Street (continued)
- 8th Floor
- City
- New York
- State / country code
- NY
- Postal code
- 10004
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 07/20/2025 | Restricted Stock and Performance Shares | Issuer | 1,500 | N | 07/20/2025 | Not Applicable |
Prior-sale reporting
- Nothing to report for the preceding three months
- Y
Remarks
The securities to be sold were acquired upon the vesting of restricted stock and performance shares during the period of 07/20/2025 through 08/07/2025
Notice signature
- Notice date
- 08/20/2026
- Signed
- /s/ Wupen Yuen
- Plan adoption dates
- 05/19/2026
Company context
Lumentum is a global leader in optical and photonic technologies that power the networks and infrastructure behind AI, cloud computing, and next-generation communications. Built on decades of photonics innovation, Lumentum delivers high-performance lasers, modules, and optical subsystems that enable scalable, energy-efficient data center connectivity, advanced telecom networks, industrial manufacturing, and sensing applications. Headquartered in San Jose, California, the company operates R&D, manufacturing, and sales facilities worldwide. Learn more at www.lumentum.com.