Jae Kim - 22 Aug 2025 Form 4 Insider Report for Lumentum Holdings Inc. (LITE)

Role
SVP, GENERAL COUNSEL
Signature
/s/ Jae Kim
Issuer symbol
LITE
Transactions as of
22 Aug 2025
Transactions value $
-$526,782
Form type
4
Filing time
26 Aug 2025, 19:51:27 UTC
Previous filing
21 Aug 2025
Next filing
18 Nov 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Kim Jae SVP, GENERAL COUNSEL C/O LUMENTUM HOLDINGS INC., 1001 RIDDER PARK DRIVE, SAN JOSE /s/ Jae Kim 26 Aug 2025 0001570465

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LITE Common Stock Sale -$398K -3.41K -8.97% $116.73 34.6K 22 Aug 2025 Direct F1, F2
transaction LITE Common Stock Sale -$129K -1.1K -3.18% $117.36 33.5K 22 Aug 2025 Direct F1, F3
transaction LITE Common Stock Award $0 +7.72K +23.05% $0.00 41.2K 23 Aug 2025 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025.
F2 These sales were executed in multiple trades at prices ranging from $116.24 to $117.18. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
F3 These sales were executed in multiple trades at prices ranging from $117.25 to $117.60. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
F4 These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, following vesting, one share of the Issuer's Common Stock. 100% of the shares shall vest August 23, 2026, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan.