Welcome to our dedicated page for Lumentum Hldgs SEC filings (Ticker: LITE), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to U.S. SEC filings for Lumentum Holdings Inc. (NASDAQ: LITE), a San Jose, California-based designer and manufacturer of optical and photonic products. Through these documents, investors can review how Lumentum reports its financial results, capital structure, and governance practices, and how it describes its role in optical networking, data center infrastructure, and laser applications.
Lumentum’s annual reports on Form 10-K and quarterly reports on Form 10-Q detail its operations in optical communications and laser technologies, including segment information, risk factors, and management’s discussion and analysis. Earnings-related Form 8-K filings furnish press releases that present both GAAP and non-GAAP metrics, with reconciliations and explanations of adjustments such as stock-based compensation, acquisition-related costs, amortization of acquired intangibles, restructuring charges, and tax items.
The company also uses Form 8-K to disclose capital markets transactions, such as its 0.375% Convertible Senior Notes due 2032, associated indentures, and capped call transactions, as well as the repurchase of existing convertible notes. These filings explain terms like conversion rates, redemption conditions, and events of default, giving insight into Lumentum’s financing strategy and debt profile.
Governance and compensation matters appear in proxy statements on Form DEF 14A, which describe board composition, committee responsibilities, executive compensation programs, equity incentive plans such as the 2025 Equity Incentive Plan, and the agenda and voting results for annual stockholder meetings. Additional filings, including registration statements and Forms S-8 referenced in 8-K exhibits, cover share-based compensation arrangements.
On Stock Titan, these filings are updated in near real time from EDGAR and paired with AI-powered summaries that highlight key points from lengthy documents. Users can quickly see what changed in a new 10-K or 10-Q, how a financing transaction affects Lumentum’s capital structure, or what a governance-related filing means, without reading every page. For deeper analysis, investors can still open the full text of each filing, including exhibits related to debt instruments, equity plans, and other material agreements.
Lumentum Holdings Inc. is exchanging portions of its 0.50% 2026 and 1.50% 2029 Convertible Senior Notes for equity. The company agreed to deliver approximately 5.7 million shares of common stock in privately negotiated deals in return for about $264.8 million principal of 2026 notes, $209.8 million principal of 2029 notes, and related conversion value above principal.
The exchanges will create incremental dilution equivalent to roughly 0.6 million shares of common stock but will significantly reduce outstanding debt. After closing, about $63.1 million of 2026 notes and about $84.5 million of 2029 notes will remain outstanding on unchanged terms. The company will not receive cash; it will cancel the notes it receives. The transactions are structured as a private placement relying on exemptions under Section 4(a)(2) and related rules.
Lumentum Holdings Inc: The Vanguard Group filed Amendment No. 10 to report it beneficially owns 0 shares of Lumentum common stock (CUSIP 55024U109) following an internal realignment effective January 12, 2026 under SEC Release No. 34-39538, which caused certain subsidiaries to report separately.
The filing states 0 voting and dispositive powers and is signed by Ashley Grim, Head of Global Fund Administration, dated 03/27/2026.
Lumentum Holdings Inc. director and officer Harris Isaac Hosojiro reported routine equity compensation activity in Common Stock. He acquired 611 fully vested restricted stock units (RSUs), each representing one share of Common Stock, as a grant with no cash price per share. On the same date, 220 shares were disposed of through shares withheld by the company at a price of $700.91 per share to cover income tax withholding obligations related to the RSU vesting, leaving him with 12,400 shares held directly after these transactions.
Lumentum Holdings Inc. executive vice president and chief financial officer Ali Wajid reported open-market sales of 5,302 shares of common stock on February 27, 2026. The trades were executed in multiple transactions at prices ranging from about $677.705 to $699.495 per share, under a pre-arranged Rule 10b5-1 trading plan adopted on November 28, 2025. Following these sales, Wajid directly owned 66,287 shares of Lumentum common stock.
Lumentum Holdings Inc. entered into a major strategic and financing deal with NVIDIA. On March 2, 2026, Lumentum issued and sold 2,876,415 shares of new Series A Convertible Preferred Stock to NVIDIA at $695.31 per share, raising $2 billion in cash through a private placement.
The preferred shares convert into common stock on a one-for-one basis, at NVIDIA’s option after expiration or termination of the applicable Hart-Scott-Rodino waiting period, or automatically before a qualified sale. The preferred stock carries dividends and voting rights on an as-converted basis, except it does not vote in director elections.
Alongside the investment, NVIDIA and Lumentum signed multi-year strategic agreements that include an NVIDIA multi‑billion purchase commitment, future capacity access rights for advanced laser components, and support for Lumentum’s planned new U.S. fabrication facility focused on advanced optics for AI data centers.
Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 reporting a proposed sale of common stock of LITE for sale on NASDAQ, with the filing dated 02/27/2026. The filing lists restricted stock entries dated 11/15/2025 (2,657 shares) and 02/15/2026 (2,645 shares).
Lumentum Holdings Inc. executive Wupen Yuen, President, Global Business Units, reported two stock transactions in common shares. On February 17, 2026, Yuen executed an open-market sale of 3,157 shares at an average price of 538.0000 per share, leaving 88,439 shares held directly afterward.
On February 15, 2026, 3,481 shares were disposed of at an average price of 562.7400 per share to satisfy income tax withholding and remittance obligations upon vesting of restricted stock units. The sale transaction was carried out under a Rule 10b5-1 trading plan adopted by Yuen on November 5, 2025.
Lumentum Holdings officer Vincent Retort reported selling 3,441 shares of common stock in multiple open-market trades on February 17, 2026 at prices ranging from $530.70 to $557.99 under a Rule 10b5-1 trading plan. A separate 3,039-share transaction on February 15, 2026 covered tax withholding on vested restricted stock units. He now directly holds 95,975 shares of Lumentum common stock.
Lumentum Holdings Inc. senior vice president and general counsel Jae Kim reported a tax-related share disposition. On February 15, 2026, 1,353 shares of common stock were withheld by the company to satisfy income tax obligations arising from the vesting of restricted stock units, coded as a tax-withholding disposition (Code F). After this withholding, Kim directly owned 37,047 shares of Lumentum common stock.
Chang Eric reported acquisition or exercise transactions in this Form 4 filing.
Lumentum Holdings Inc. reported that officer Eric Chang received a grant of 5,006 restricted stock units (RSUs) of common stock. The award carries no cash purchase price, reflecting equity-based compensation rather than an open-market buy.
Each RSU represents a right to receive one share of common stock after vesting. One quarter of the award will vest one year from the grant date, and the remaining RSUs will vest in 12 equal quarterly installments on the 15th of May, August, November, and February, as long as Chang remains an employee or as otherwise provided under Lumentum’s 2025 Equity Incentive Plan.