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Lumentum Holdings Inc.

For the period ended Mar 29, 2025. Filed May 7, 2025.

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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Mar 29, 2025 · Filed May 7, 2025

LITE$596.16+10.7%Stored close · as of Nov 9, 2026

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Item 5. Other Information

Securities Trading Plans of Directors and Executive Officers

During our last fiscal quarter, the following officer, as defined in Rule 16a-1(f), adopted a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” each as defined in Regulation S-K Item 408.

On 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.

On 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.

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The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.