Lumentum Holdings Inc.
For the period ended Mar 28, 2026. Filed May 6, 2026.
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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 28, 2026 · Filed May 6, 2026
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Item 5. Other Information
Securities Trading Plans of Directors and Executive Officers
During our last fiscal quarter, the following officers, 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 6, 2026, Brian Lillie, a member of ourboard 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.
On February 12, 2026, Pamela Fletcher, ourdirector, 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.
On February 23, 2026, Paul Lundstrom, a member of ourboard 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.
On 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.
On February 27, 2026, Issac Harris, a member of ourboard 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.
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