08/27/2026 | Press release | Distributed by Public on 08/27/2026 19:56
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Kim Jae C/O LUMENTUM HOLDINGS INC. 1001 RIDDER PARK DRIVE SAN JOSE, CA 95131 |
SVP, GENERAL COUNSEL | |||
| /s/ Jae Kim | 08/27/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2026. |
| (2) | These sales were executed in multiple trades at prices ranging from $842.06 to $843.02. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price, within the ranges set forth in footnotes (2) through (17) to this Form 4, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. |
| (3) | These sales were executed in multiple trades at prices ranging from $843.13 to $843.94. |
| (4) | These sales were executed in multiple trades at prices ranging from $844.20 to $845.00. |
| (5) | These sales were executed in multiple trades at prices ranging from $845.41 to $846.33. |
| (6) | These sales were executed in multiple trades at prices ranging from $846.475 to $847.44. |
| (7) | These sales were executed in multiple trades at prices ranging from $847.505 to $848.495. |
| (8) | These sales were executed in multiple trades at prices ranging from $848.51 to $849.495. |
| (9) | These sales were executed in multiple trades at prices ranging from $849.88 to $850.87. |
| (10) | These sales were executed in multiple trades at prices ranging from $850.915 to $851.61. |
| (11) | These sales were executed in multiple trades at prices ranging from $851.935 to $852.87. |
| (12) | These sales were executed in multiple trades at prices ranging from $853.035 to $854.00. |
| (13) | These sales were executed in multiple trades at prices ranging from $854.17 to $855.155. |
| (14) | These sales were executed in multiple trades at prices ranging from $855.17 to $856.15. |
| (15) | These sales were executed in multiple trades at prices ranging from $856.22 to $857.21. |
| (16) | These sales were executed in multiple trades at prices ranging from $857.365 to $858.255. |
| (17) | These sales were executed in multiple trades at prices ranging from $859.99 to $860.69. |
| (18) | 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. |