LITELumentum
Lumentum Holdings Inc. (“we,” “us,” “our”, “Lumentum” or the “Company”) is a global leader in optical and photonic technologies and an industry-leading provider of optical and photonic products based on revenue and market share. 10-K, Item 1
- Employees
- 13,757
- Headquarters
- San Jose, CA
- CEO
- Michael E. Hurlston
- Next results
- around Feb 2, 2027
What LITE's directors and officers said they would sell, before they sold: trading plans the company reports each quarter, and the Form 144 notices sellers file on the day of a planned sale. Facts only; most of these sales are routine, such as selling shares from vesting stock awards.
Trading plans adopted or ended
11 plans still running: Michael Hurlston, Wajid Ali, Wupen Yuen, Issac Harris, Jae Kim, Paul Lundstrom, Pamela Fletcher, Brian Lillie, Vince Retort.
| Insider | What | Date | Shares | Runs to | Reported in |
|---|---|---|---|---|---|
| Michael Hurlston President and Chief Executive Officer |
Adopted 10b5-1 plan | May 28, 2026 | up to 1,096 | May 28, 2027 | 10-K Aug 17, 2026 |
The company's descriptionOn May 28, 2026, Michael Hurlston, our President and Chief Executive Officer, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 1,096 shares of our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until May 28, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Wajid Ali Executive Vice President and Chief Financial Officer |
Adopted 10b5-1 plan | May 26, 2026 | not stated | May 26, 2027 | 10-K Aug 17, 2026 |
The company's descriptionOn May 26, 2026, Wajid Ali, our Executive Vice President and Chief Financial Officer, adopted a modification of his Rule 10b5-1 trading arrangement entered into on November 28, 2025. The modified plan provides for the sale from time to time of an aggregate of up to 61,936 shares of our common stock (based on PSUs vesting at target). The actual number of shares sold under the trading arrangement will depend on achievement of performance targets applicable to the PSUs subject to the trading arrangement, be subject to vesting of the PSUs and RSUs subject to the trading arrangement, and be net of shares withheld for taxes upon vesting and settlement of the PSUs and RSUs subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until May 26, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Wupen Yuen President |
Adopted 10b5-1 plan | May 19, 2026 | up to 18,422 | May 19, 2027 | 10-K Aug 17, 2026 |
The company's descriptionOn May 19, 2026, Wupen Yuen, our President, Global Business Units, adopted a modification of his Rule 10b5-1 trading arrangement entered into on November 5, 2025, providing for the sale from time to time of an aggregate of up to 18,422 shares of our common stock (based on PSUs vesting at target). The actual number of shares sold under the trading arrangement will depend on achievement of performance targets applicable to the PSUs subject to the trading arrangement, be subject to vesting of the PSUs and RSUs subject to the trading arrangement, and be net of shares withheld for taxes upon vesting and settlement of the PSUs and RSUs subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until May 19, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Issac Harris board of directors |
Adopted 10b5-1 plan | Feb 27, 2026 | up to 5,416 | Feb 27, 2027 | 10-Q May 6, 2026 |
The company's descriptionOn February 27, 2026, Issac Harris, a member of our board of directors and our Interim Chief Procurement Officer, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 5,416 shares of our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until February 27, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Jae Kim Senior Vice President |
Adopted 10b5-1 plan | Feb 26, 2026 | up to 38,594 | Feb 8, 2027 | 10-Q May 6, 2026 |
The company's descriptionOn February 26, 2026, Jae Kim, our Senior Vice President, General Counsel and Secretary, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 38,594 shares of our common stock (based on PSUs vesting at target). The actual number of shares sold under the trading arrangement will depend on achievement of performance targets applicable to the PSUs subject to the trading arrangement, be subject to vesting of the PSUs and RSUs subject to the trading arrangement, depend on shares acquired through employee stock purchase plan (“ESPP”) subject to the trading arrangement, and be net of shares withheld for taxes upon vesting and settlement of the PSUs, RSUs and ESPP shares subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until February 8, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Paul Lundstrom board of directors |
Adopted 10b5-1 plan | Feb 23, 2026 | up to 1,000 | Feb 23, 2027 | 10-Q May 6, 2026 |
The company's descriptionOn February 23, 2026, Paul Lundstrom, a member of our board of directors, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 1,000 shares of our common stock. The actual number of shares sold under the trading arrangement will be subject to vesting of the RSUs subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until February 23, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Pamela Fletcher director |
Adopted 10b5-1 plan | Feb 12, 2026 | up to 3,155 | Feb 12, 2027 | 10-Q May 6, 2026 |
The company's descriptionOn February 12, 2026, Pamela Fletcher, our director, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 3,155 shares of our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until February 12, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Brian Lillie board of directors |
Adopted 10b5-1 plan | Feb 6, 2026 | up to 12,000 | Feb 6, 2027 | 10-Q May 6, 2026 |
The company's descriptionOn February 6, 2026, Brian Lillie, a member of our board of directors, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 12,000 shares of our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until February 6, 2027, or earlier if all transactions under the trading arrangement are completed. | |||||
| Wajid Ali Chief Financial Officer |
Adopted 10b5-1 plan | Nov 28, 2025 | not stated | Nov 30, 2026 | 10-Q Feb 4, 2026 |
The company's descriptionOn November 28, 2025, Wajid Ali, our Chief Financial Officer, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 66,265 shares of our common stock (based on PSUs vesting at target). The actual number of shares sold under the trading arrangement will depend on achievement of performance targets applicable to the PSUs subject to the trading arrangement, be subject to vesting of the PSUs and RSUs subject to the trading arrangement, and be net of shares withheld for taxes upon vesting and settlement of the PSUs and RSUs subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until November 30, 2026, or earlier if all transactions under the trading arrangement are completed. | |||||
| Vince Retort President |
Adopted 10b5-1 plan | Nov 13, 2025 | not stated | Nov 20, 2026 | 10-Q Feb 4, 2026 |
The company's descriptionOn November 13, 2025, Vince Retort, our President, Modules R&D and New Product Design and Development, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate up to 105,445 shares of our common stock (based on PSUs vesting at target). The actual number of shares sold under the trading arrangement will depend on achievement of performance targets applicable to the PSUs subject to the trading arrangement, be subject to vesting of the PSUs and RSUs subject to the trading arrangement, and be net of shares withheld for taxes upon vesting and settlement of the PSUs and RSUs subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until November 20, 2026, or earlier if all transactions under the trading arrangement are completed. | |||||
| Wupen Yuen President |
Adopted 10b5-1 plan | Nov 5, 2025 | not stated | Dec 31, 2026 | 10-Q Feb 4, 2026 |
The company's descriptionOn November 5, 2025, Wupen Yuen, our President, Global Business Units, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 28,522 shares of our common stock (based on PSUs vesting at target). The actual number of shares sold under the trading arrangement will depend on achievement of performance targets applicable to the PSUs subject to the trading arrangement, be subject to vesting of the PSUs and RSUs subject to the trading arrangement, and be net of shares withheld for taxes upon vesting and settlement of the PSUs and RSUs subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until December 31, 2026, or earlier if all transactions under the trading arrangement are completed. | |||||
| Jae Kim Senior Vice President, General Counsel |
Adopted 10b5-1 plan | Feb 11, 2025 | up to 20,352 | Feb 11, 2026 | 10-Q May 7, 2025 |
The company's descriptionOn February 11, 2025, Jae Kim, our Senior Vice President, General Counsel, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 20,352 shares of our common stock. The actual number of shares sold under the trading arrangement will depend on restricted stock units (“RSUs”) and shares acquired through employee stock purchase plan (the “ESPP”) subject to the trading arrangement and be net of shares withheld for taxes upon vesting and settlement of the RSUs and the ESPP subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until February 11, 2026, or earlier if all transactions under the trading arrangement are completed. | |||||
| Wupen Yuen President |
Adopted 10b5-1 plan | Feb 11, 2025 | up to 28,299 | Feb 11, 2026 | 10-Q May 7, 2025 |
The company's descriptionOn February 11, 2025, Wupen Yuen, our President, Cloud & Networking, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time, for an aggregate of up to 28,299 shares of our common stock. The actual number of shares sold under the trading arrangement will depend on RSUs and shares acquired through the ESPP subject to the trading arrangement. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until February 11, 2026, or earlier if all transactions under the trading arrangement are completed. | |||||
| Alan Lowe President and Chief Executive Officer and a member of our board of directors |
Adopted 10b5-1 plan | Nov 20, 2024 | up to 120,000 | Feb 19, 2026 | 10-Q Feb 6, 2025 |
| Wajid Ali Chief Financial Officer |
Adopted 10b5-1 plan | Aug 30, 2024 | up to 67,118 | Sep 26, 2025 | 10-Q Nov 8, 2024 |
| Vince Retort President, Industrial Tech and Chief Business Officer |
Adopted 10b5-1 plan | Aug 26, 2024 | up to 152,147 | Aug 29, 2025 | 10-Q Nov 8, 2024 |
| Julie Johnson board of directors |
Adopted 10b5-1 plan | Aug 22, 2024 | up to 2,058 | Aug 22, 2025 | 10-Q Nov 8, 2024 |
| Penny Herscher board of directors |
Adopted 10b5-1 plan | May 20, 2024 | up to 2,167 | May 20, 2025 | 10-Q Nov 8, 2024 |
From the XBRL of the company's 10-Qs and 10-Ks (Regulation S-K Item 408, reported since 2023): 15 filings checked since May 9, 2023.
Form 144 notices of planned sales
| Filed | Seller | Shares | Value | Shares came from | 10b5-1 plan | Form 4 sales after |
|---|---|---|---|---|---|---|
| Oct 1, 2026 | WAJID ALI Officer |
24,542 | $25,732,287 | Performance Shares | adopted May 26, 2026 | 24,542 shares from Oct 1, 2026 |
| Sep 29, 2026 | WUPEN YUEN Officer |
307 | $290,115 | Restricted Stock | adopted May 19, 2026 | 307 shares from Sep 29, 2026 |
| Sep 28, 2026 | WUPEN YUEN Officer |
500 | $474,250 | Restricted Stock | adopted May 19, 2026 | 807 shares from Sep 28, 2026 |
| Sep 25, 2026 | WUPEN YUEN Officer |
500 | $467,875 | Restricted Stock | adopted May 19, 2026 | 1,307 shares from Sep 25, 2026 |
| Sep 24, 2026 | WUPEN YUEN Officer |
500 | $460,535 | Restricted Stock | adopted May 19, 2026 | 1,807 shares from Sep 24, 2026 |
| Sep 23, 2026 | WUPEN YUEN Officer |
500 | $473,280 | Restricted Stock | adopted May 19, 2026 | 2,307 shares from Sep 23, 2026 |
| Sep 22, 2026 | WUPEN YUEN Officer |
500 | $467,775 | Restricted Stock | adopted May 19, 2026 | 2,807 shares from Sep 22, 2026 |
| Sep 21, 2026 | WUPEN YUEN Officer |
500 | $479,635 | Restricted Stock | adopted May 19, 2026 | 3,307 shares from Sep 21, 2026 |
| Sep 18, 2026 | WUPEN YUEN Officer |
500 | $460,000 | Restricted Stock | adopted May 19, 2026 | 3,807 shares from Sep 18, 2026 |
| Sep 17, 2026 | WUPEN YUEN Officer |
500 | $466,725 | Restricted Stock | adopted May 19, 2026 | 4,307 shares from Sep 17, 2026 |
| Sep 16, 2026 | WUPEN YUEN Officer |
500 | $428,415 | Restricted Stock | adopted May 19, 2026 | 4,807 shares from Sep 16, 2026 |
| Sep 15, 2026 | WUPEN YUEN Officer |
500 | $420,755 | Restricted Stock | adopted May 19, 2026 | 5,307 shares from Sep 15, 2026 |
| Sep 14, 2026 | WUPEN YUEN Officer |
500 | $431,070 | Performance Shares; Restricted Stock | adopted May 19, 2026 | 5,807 shares from Sep 14, 2026 |
| Sep 11, 2026 | WUPEN YUEN Officer |
500 | $472,205 | Performance Shares | adopted May 19, 2026 | 6,307 shares from Sep 11, 2026 |
| Sep 10, 2026 | WUPEN YUEN Officer |
500 | $480,720 | Performance Shares | adopted May 19, 2026 | 6,807 shares from Sep 10, 2026 |
| Sep 9, 2026 | WUPEN YUEN Officer |
500 | $489,270 | Performance Shares | adopted May 19, 2026 | 7,307 shares from Sep 9, 2026 |
| Sep 8, 2026 | WUPEN YUEN Officer |
500 | $447,995 | Performance Shares | adopted May 19, 2026 | 7,807 shares from Sep 8, 2026 |
| Sep 4, 2026 | WUPEN YUEN Officer |
500 | $430,000 | Performance Shares | adopted May 19, 2026 | 8,307 shares from Sep 4, 2026 |
| Sep 3, 2026 | WUPEN YUEN Officer |
500 | $435,005 | Performance Shares | adopted May 19, 2026 | 8,807 shares from Sep 3, 2026 |
| Sep 2, 2026 | WUPEN YUEN Officer |
500 | $432,245 | Performance Shares | adopted May 19, 2026 | 9,307 shares from Sep 2, 2026 |
| Sep 1, 2026 | WUPEN YUEN Officer |
500 | $450,520 | Performance Shares | adopted May 19, 2026 | 9,807 shares from Sep 1, 2026 |
| Aug 31, 2026 | WUPEN YUEN Officer |
500 | $447,500 | Performance Shares; Restricted Stock | adopted May 19, 2026 | 10,307 shares from Aug 31, 2026 |
| Aug 28, 2026 | WUPEN YUEN Officer |
500 | $470,475 | Restricted Stock | adopted May 19, 2026 | 10,000 shares from Aug 28, 2026 |
| Aug 27, 2026 | MICHAEL EDWARD HURLSTON Officer, Director |
548 | $525,346 | Restricted Stock | adopted May 28, 2026 | 548 shares from Aug 27, 2026 |
| Aug 27, 2026 | WUPEN YUEN Officer |
500 | $479,330 | Restricted Stock | adopted May 19, 2026 | 10,500 shares from Aug 27, 2026 |
| Aug 26, 2026 | WUPEN YUEN Officer |
500 | $441,075 | Restricted Stock | adopted May 19, 2026 | 11,000 shares from Aug 26, 2026 |
| Aug 25, 2026 | VINCENT D RETORT Officer |
38,663 | $32,963,734 | Performance and Restricted Stock | adopted Nov 13, 2025 | 38,663 shares from Aug 25, 2026 |
| Aug 25, 2026 | JAE KIM Officer |
12,000 | $10,231,016 | Performance Shares; Restricted Stock | adopted Feb 6, 2026 | 12,000 shares from Aug 25, 2026 |
| Aug 25, 2026 | WUPEN YUEN Officer |
500 | $428,322 | Restricted Stock | adopted May 19, 2026 | 11,000 shares from Aug 25, 2026 |
| Aug 24, 2026 | WUPEN YUEN Officer |
500 | $412,120 | Performance and Restricted Stock | adopted May 19, 2026 | 11,000 shares from Aug 24, 2026 |
| Aug 21, 2026 | WUPEN YUEN Officer |
500 | $449,075 | Performance Shares | adopted May 19, 2026 | 10,000 shares from Aug 21, 2026 |
| Aug 20, 2026 | JAE KIM Officer |
1,904 | $1,576,169 | Restricted Stock | adopted Feb 6, 2026 | 13,904 shares from Aug 20, 2026 |
| Aug 20, 2026 | VINCENT D RETORT Officer |
2,483 | $2,055,477 | Restricted Stock | adopted Nov 13, 2025 | 41,146 shares from Aug 20, 2026 |
| Aug 20, 2026 | WUPEN YUEN Officer |
1,500 | $1,241,730 | Restricted Stock and Performance Shares | adopted May 19, 2026 | 11,500 shares from Aug 20, 2026 |
| Aug 18, 2026 | JAE KIM Officer |
1,366 | $1,242,281 | Restricted Stock | adopted Feb 6, 2026 | 15,270 shares from Aug 18, 2026 |
| Aug 18, 2026 | VINCENT D RETORT Officer |
3,183 | $2,894,716 | Restricted Stock | adopted Nov 13, 2025 | 44,329 shares from Aug 18, 2026 |
| Jun 2, 2026 | ISAAC H HARRIS Director |
1,416 | $1,416,115 | Restricted Stock | adopted Feb 27, 2026 | 1,416 shares from Jun 2, 2026 |
| May 29, 2026 | ISAAC H HARRIS Officer, Director |
4,000 | $3,440,000 | Restricted Stock | adopted Feb 27, 2026 | 5,416 shares from May 29, 2026 |
| May 18, 2026 | JAE KIM Officer |
1,422 | $1,356,517 | Employee Stock Purchase Plan; Restricted Stock | adopted Feb 6, 2026 | 1,422 shares from May 18, 2026 |
| May 18, 2026 | VINCENT D RETORT Officer |
3,183 | $3,036,423 | Restricted Stock | adopted Nov 13, 2025 | 3,183 shares from May 18, 2026 |
| May 18, 2026 | WAJID ALI Officer |
2,487 | $2,372,474 | Restricted Stock | adopted Nov 28, 2025 | 2,487 shares from May 18, 2026 |
| May 18, 2026 | WUPEN YUEN Officer |
3,210 | $3,062,180 | Restricted Stock | adopted Nov 5, 2025 | 3,210 shares from May 18, 2026 |
| May 15, 2026 | PAMELA FLETCHER Director |
1,578 | $1,484,614 | Restricted Stock | adopted Feb 12, 2026 | 1,578 shares from May 15, 2026 |
| May 14, 2026 | PAMELA FLETCHER Director |
1,577 | $1,582,322 | Restricted Stock | adopted Feb 12, 2026 | 3,155 shares from May 14, 2026 |
| May 11, 2026 | BRIAN LILLIE Director |
12,000 | $11,780,774 | Restricted Stock | adopted Feb 6, 2026 | 12,000 shares from May 11, 2026 |
| May 11, 2026 | JAE KIM Officer |
1,933 | $1,838,264 | Performance Shares; Restricted Stock | adopted Feb 6, 2026 | 3,355 shares from May 11, 2026 |
| May 8, 2026 | MATTHEW SEPE Officer |
6,279 | $5,494,125 | Employee Stock Purchase Plan; Performance Shares; Restricted Stock | none given | none found |
| May 8, 2026 | Ian Small Director |
3,500 | $3,188,902 | Stock Bonus | none given | 8,454 shares from May 8, 2026 |
| Feb 27, 2026 | WAJID ALI Officer |
5,302 | $3,664,387 | Restricted Stock | adopted Nov 28, 2025 | none found |
| Feb 18, 2026 | MATTHEW SEPE Officer |
1,445 | $860,671 | Restricted Stock | none given | none found |
| Feb 17, 2026 | MATTHEW SEPE Officer |
2,705 | $1,599,196 | Restricted Stock | none given | none found |
| Feb 17, 2026 | VINCENT D RETORT Officer |
3,441 | $1,878,025 | Restricted Stock | adopted Nov 13, 2025 | none found |
| Feb 17, 2026 | WUPEN YUEN Officer |
3,157 | $1,698,466 | Restricted Stock | adopted Nov 5, 2025 | none found |
| Feb 12, 2026 | Penelope Herscher Director |
4,000 | $2,389,975 | RSU Vesting; RSU vesting | none given | none found |
| Feb 12, 2026 | VINCENT D RETORT Officer |
45,026 | $26,624,903 | Performance and Restricted Stock | adopted Nov 13, 2025 | none found |
| Feb 6, 2026 | Penelope Herscher Director |
4,849 | $2,596,536 | RSU vesting | none given | none found |
| Nov 20, 2025 | HAROLD COVERT JR Former Director |
3,313 | $796,622 | Restricted Stock | none given | none found |
| Nov 19, 2025 | PAMELA FLETCHER Director |
3,421 | $935,762 | Restricted Stock | none given | none found |
| Nov 19, 2025 | WUPEN YUEN Officer |
822 | $212,865 | Restricted Stock | adopted Feb 11, 2025 | none found |
| Nov 18, 2025 | WUPEN YUEN Officer |
821 | $201,966 | Restricted Stock | adopted Feb 11, 2025 | none found |
| Nov 18, 2025 | JAE KIM Officer |
170 | $41,820 | Employee Stock Purchase Plan | adopted Feb 11, 2025 | none found |
| Nov 17, 2025 | PAMELA FLETCHER Director |
579 | $144,750 | Restricted Stock | none given | none found |
| Nov 17, 2025 | JAE KIM Officer |
1,367 | $320,069 | Restricted Stock | adopted Feb 11, 2025 | none found |
| Nov 17, 2025 | WUPEN YUEN Officer |
821 | $192,229 | Restricted Stock | adopted Feb 11, 2025 | none found |
| Nov 10, 2025 | JULIA S JOHNSON Director |
10,000 | $2,703,900 | Restricted Stock | none given | none found |
| Nov 7, 2025 | ISAAC H HARRIS Director |
7,200 | $1,751,904 | Restricted Stock | none given | none found |
| Nov 7, 2025 | MATTHEW SEPE Officer |
4,232 | $1,014,103 | Performance Shares; Restricted Stock | none given | none found |
From the Form 144 XML filed with the SEC, since Nov 7, 2025. The value is the seller's estimate on the notice. "Form 4 sales after" matches the seller's Form 4 sales in the 30 days after the notice, by name; Form 4s go back 180 days.
Work on LITE in a spreadsheet:
Excel workbook (a sheet per section, ten years by column, charts, links to the filings) ·
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