Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lumentum Holdings Inc.LITE · Entity 2957 | PRESIDENT, GLOBAL BUS. UNITS | September 28, 2026 | October 01, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Lumentum Holdings Inc.
Report date September 28, 2026 · Filed October 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 108,320 |
Ending reported balance
After 2026-09-29 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-28 · Sale · Disposed 500 · Balance 108,627 F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Row 2 · 2026-09-29 · Sale · Disposed 307 · Balance 108,320 F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
NEOPHOTONICS CORP
Report date August 03, 2022 · Filed August 05, 2022
Section 16 reporting ended · disclosed 2022-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 1
1 source rowRow 1 · 2022-08-03 · Disposition to issuer · Disposed 207,878 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.30 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-08-03 · Disposition to issuer · Disposed 40,000 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.59 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-08-03 · Disposition to issuer · Disposed 25,964 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.07 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-08-03 · Disposition to issuer · Disposed 9,667 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.27 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-08-03 · Disposition to issuer · Disposed 8,268 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.11 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-08-03 · Disposition to issuer · Disposed 68,000 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.59 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-08-03 · Disposition to issuer · Disposed 7,036 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.07 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-08-03 · Disposition to issuer · Disposed 19,333 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.27 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-08-03 · Disposition to issuer · Disposed 21,732 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Restricted Stock Unit (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-08-03 · Disposition to issuer · Disposed 90,525 · Balance 0 F3: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement. |
| Performance Restricted Stock Unit (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-08-03 · Disposition to issuer · Disposed 36,900 · Balance 0 F4: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration").
F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement.
F3: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement.
F4: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 29, 2026 Filed Oct 1, 2026 03:01 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 307 | $945.00 | $290,115.00 |
DisclosureSEC source: 0001489550-26-000015 · form4-09302026_110901.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 108,320 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 28, 2026 Filed Oct 1, 2026 03:01 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $948.50 | $474,250.00 |
DisclosureSEC source: 0001489550-26-000015 · form4-09302026_110901.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 108,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 25, 2026 Filed Sep 26, 2026 00:57 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $935.75 | $467,875.00 |
DisclosureSEC source: 0001489550-26-000014 · form4-09262026_120926.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 109,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 24, 2026 Filed Sep 26, 2026 00:57 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $921.07 | $460,535.00 |
DisclosureSEC source: 0001489550-26-000014 · form4-09262026_120926.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 109,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 23, 2026 Filed Sep 23, 2026 20:47 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $946.56 | $473,280.00 |
DisclosureSEC source: 0001489550-26-000013 · form4-09232026_080919.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 110,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 22, 2026 Filed Sep 23, 2026 20:47 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $935.55 | $467,775.00 |
DisclosureSEC source: 0001489550-26-000013 · form4-09232026_080919.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 110,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 21, 2026 Filed Sep 23, 2026 20:47 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $959.27 | $479,635.00 |
DisclosureSEC source: 0001489550-26-000013 · form4-09232026_080919.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 111,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 18, 2026 Filed Sep 18, 2026 20:52 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $920.00 | $460,000.00 |
DisclosureSEC source: 0001489550-26-000012 · form4-09182026_080946.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 111,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 17, 2026 Filed Sep 18, 2026 20:52 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $933.45 | $466,725.00 |
DisclosureSEC source: 0001489550-26-000012 · form4-09182026_080946.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 112,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 16, 2026 Filed Sep 18, 2026 20:52 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $856.83 | $428,415.00 |
DisclosureSEC source: 0001489550-26-000012 · form4-09182026_080946.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 112,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 15, 2026 Filed Sep 15, 2026 23:09 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $841.51 | $420,755.00 |
DisclosureSEC source: 0001489550-26-000011 · form4-09152026_110904.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 113,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 14, 2026 Filed Sep 15, 2026 23:09 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $862.14 | $431,070.00 |
DisclosureSEC source: 0001489550-26-000011 · form4-09152026_110904.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 113,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 11, 2026 Filed Sep 15, 2026 23:09 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $944.41 | $472,205.00 |
DisclosureSEC source: 0001489550-26-000011 · form4-09152026_110904.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 114,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 10, 2026 Filed Sep 10, 2026 21:35 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $961.44 | $480,720.00 |
DisclosureSEC source: 0001489550-26-000010 · form4-09102026_090944.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 114,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 09, 2026 Filed Sep 10, 2026 21:35 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $978.54 | $489,270.00 |
DisclosureSEC source: 0001489550-26-000010 · form4-09102026_090944.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 115,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 08, 2026 Filed Sep 10, 2026 21:35 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $895.99 | $447,995.00 |
DisclosureSEC source: 0001489550-26-000010 · form4-09102026_090944.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 115,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 04, 2026 Filed Sep 4, 2026 20:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $860.00 | $430,000.00 |
DisclosureSEC source: 0001489550-26-000009 · form4-09042026_080916.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 116,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 03, 2026 Filed Sep 4, 2026 20:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $870.01 | $435,005.00 |
DisclosureSEC source: 0001489550-26-000009 · form4-09042026_080916.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 116,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 02, 2026 Filed Sep 4, 2026 20:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $864.49 | $432,245.00 |
DisclosureSEC source: 0001489550-26-000009 · form4-09042026_080916.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 117,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| September 01, 2026 Filed Sep 2, 2026 01:19 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $901.04 | $450,520.00 |
DisclosureSEC source: 0001489550-26-000008 · form4-09022026_010927.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 117,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 31, 2026 Filed Sep 2, 2026 01:19 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $895.00 | $447,500.00 |
DisclosureSEC source: 0001489550-26-000008 · form4-09022026_010927.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 118,127 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 28, 2026 Filed Sep 2, 2026 01:19 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $940.95 | $470,475.00 |
DisclosureSEC source: 0001489550-26-000008 · form4-09022026_010927.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 118,627 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 27, 2026 Filed Aug 28, 2026 01:57 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $958.66 | $479,330.00 |
DisclosureSEC source: 0001489550-26-000007 · form4-08282026_010839.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 119,127 F3 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 26, 2026 Filed Aug 26, 2026 23:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $882.15 | $441,075.00 |
DisclosureSEC source: 0001489550-26-000005 · form4-08262026_110800.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 91,729 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 25, 2026 Filed Aug 26, 2026 23:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $856.65 | $428,322.50 |
DisclosureSEC source: 0001489550-26-000005 · form4-08262026_110800.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 92,229 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 25, 2026 Filed Aug 28, 2026 01:57 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 5,138 | $0.00 | $0.00 |
DisclosureSEC source: 0001489550-26-000007 · form4-08282026_010839.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 120,627 F1 · kind: 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. 1/3 of the shares shall vest one year from the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter on the 15th of November, February, May and August, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2025 Equity Incentive Plan. F2 · balance_after: The number of shares reported as beneficially owned following the reported transaction is as of August 25, 2026 and prior to other transactions that occurred August 25, 2026 and August 26, 2026 as reported in a Form 4 filed by the Reporting Person on August 26, 2026. Read SEC document |
| August 24, 2026 Filed Aug 26, 2026 23:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $824.24 | $412,120.00 |
DisclosureSEC source: 0001489550-26-000005 · form4-08262026_110800.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 92,729 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 21, 2026 Filed Aug 22, 2026 00:43 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 500 | $898.15 | $449,075.00 |
DisclosureSEC source: 0001489550-26-000004 · form4-08222026_120847.xml · nonDerivative · entry 4 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 93,229 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 21, 2026 Filed Aug 22, 2026 00:43 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 6,705 | $866.71 | $5,811,290.55 |
DisclosureSEC source: 0001489550-26-000004 · form4-08222026_120847.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 93,729 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 20, 2026 Filed Aug 22, 2026 00:43 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 1,500 | $827.82 | $1,241,730.00 |
DisclosureSEC source: 0001489550-26-000004 · form4-08222026_120847.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 100,434 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| August 19, 2026 Filed Aug 22, 2026 00:43 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 3,860 | $827.60 | $3,194,536.00 |
DisclosureSEC source: 0001489550-26-000004 · form4-08222026_120847.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 101,934 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 17, 2026 Filed Aug 19, 2026 00:48 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 29,056 | $968.90 | $28,152,358.40 |
DisclosureSEC source: 0001489550-26-000003 · form4-08192026_120833.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 105,794 F3 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of PSUs. Read SEC document |
| August 17, 2026 Filed Aug 19, 2026 00:48 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 57,103 | $0.00 | $0.00 |
DisclosureSEC source: 0001489550-26-000003 · form4-08192026_120833.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,850 F2 · kind: Represents the acquisition of shares upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units ("PSUs") granted to the Reporting Person on August 23, 2023. Read SEC document |
| August 17, 2026 Filed Aug 28, 2026 01:54 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 22,760 | $0.00 | $0.00 |
DisclosureSEC source: 0001489550-26-000006 · form4-08282026_010821.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,507 F1 · kind: The Compensation Committee of the Board of Directors of the Issuer certified achievement of certain performance conditions with respect to performance stock units (PSUs) granted to the Reporting Person on August 19, 2025. The PSUs remain subject to time-based vesting; 100% of the shares shall vest on August 19, 2028, subject to the Reporting Person continuing to be a service provider of the Issuer through such date. F2 · balance_after: The number of shares reported as beneficially owned following the reported transaction is as of August 17, 2026 and prior to other transactions that occurred August 17, 2026 as reported in a Form 4 filed by the Reporting Person on August 18, 2026. Read SEC document |
| August 15, 2026 Filed Aug 19, 2026 00:48 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 3,741 | $926.14 | $3,464,689.74 |
DisclosureSEC source: 0001489550-26-000003 · form4-08192026_120833.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,747 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| May 18, 2026 Filed May 20, 2026 00:10 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,210 | $953.95 | $3,062,179.50 |
DisclosureSEC source: 0001489550-26-000002 · form4-05202026_120544.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 81,488 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 5, 2025. Read SEC document |
| May 15, 2026 Filed May 20, 2026 00:10 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 3,741 | $970.70 | $3,631,388.70 |
DisclosureSEC source: 0001489550-26-000002 · form4-05202026_120544.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 84,698 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| February 17, 2026 Filed Feb 18, 2026 23:26 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,157 | $538.00 | $1,698,466.00 |
DisclosureSEC source: 0001489550-26-000001 · form4-02182026_110208.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 88,439 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 5, 2025. Read SEC document |
| February 15, 2026 Filed Feb 18, 2026 23:26 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 3,481 | $562.74 | $1,958,897.94 |
DisclosureSEC source: 0001489550-26-000001 · form4-02182026_110208.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 91,596 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| November 19, 2025 Filed Nov 22, 2025 00:19 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 822 | $258.96 | $212,865.12 |
DisclosureSEC source: 0001489550-25-000004 · form4-11222025_121139.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 95,077 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| November 18, 2025 Filed Nov 19, 2025 02:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 821 | $246.00 | $201,966.00 |
DisclosureSEC source: 0001489550-25-000003 · form4-11192025_021104.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 95,899 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| November 17, 2025 Filed Nov 19, 2025 02:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 821 | $234.14 | $192,228.94 |
DisclosureSEC source: 0001489550-25-000003 · form4-11192025_021104.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 96,720 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| November 15, 2025 Filed Nov 19, 2025 02:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 3,732 | $232.15 | $866,383.80 |
DisclosureSEC source: 0001489550-25-000003 · form4-11192025_021104.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, GLOBAL BUS. UNITS 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 97,541 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 27, 2025 Filed Aug 29, 2025 01:31 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,281 | $124.86 | $409,665.66 |
DisclosureSEC source: 0001415889-25-023267 · form4-08292025_010822.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 101,273 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 26, 2025 Filed Aug 29, 2025 01:31 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,282 | $124.39 | $408,247.98 |
DisclosureSEC source: 0001415889-25-023267 · form4-08292025_010822.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 104,554 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 25, 2025 Filed Aug 26, 2025 23:54 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,282 | $119.25 | $391,378.50 |
DisclosureSEC source: 0001415889-25-023065 · form4-08262025_110827.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 107,836 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 23, 2025 Filed Aug 26, 2025 23:54 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 13,177 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-023065 · form4-08262025_110827.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 111,118 F1 · kind: 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. 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. Read SEC document |
| August 21, 2025 Filed Aug 22, 2025 01:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 10,487 | $117.43 | $1,231,488.41 |
DisclosureSEC source: 0001415889-25-022694 · form4-08222025_010832.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,941 F3 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of RSUs and PSUs. Read SEC document |
| August 21, 2025 Filed Aug 22, 2025 01:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 9,218 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-022694 · form4-08222025_010832.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 108,428 F2 · kind: Represents the acquisition of shares upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units ("PSUs") granted to the Reporting Person on August 21, 2024. Read SEC document |
| August 19, 2025 Filed Aug 19, 2025 21:34 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 109 | $117.60 | $12,818.40 |
DisclosureSEC source: 0001415889-25-022345 · form4-08192025_090844.xml · nonDerivative · entry 4 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 76,450 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.