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Published: 2020-11-24 16:02:31 ET
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Form 8-K
false 0001633978 0001633978 2020-11-19 2020-11-19

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of report (Date of earliest event reported): November 19, 2020

 

 

Lumentum Holdings Inc.

(Exact name of Registrant as specified in its charter)

 

 

 

Delaware   001-36861   47-3108385

(State or Other Jurisdiction

of Incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification Number)

 

1001 Ridder Park Drive, San Jose, CA   95131
(Address of Principal Executive Offices)   (Zip Code)

(408) 546-5483

(Registrant’s Telephone Number, Including Area Code)

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

  

Trading

Symbol(s)

  

Name of each exchange

on which registered

Common Stock, par value of $0.001 per share   LITE   Nasdaq Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 

Item 5.02 – Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On November 19, 2020, the Board appointed Ms. Janet Wong to its Audit Committee, having previously determined that she satisfies the applicable requirements of the Securities and Exchange Commission and NASDAQ to serve on such committee.

Item 5.07 – Submission of Matters to a Vote of Security Holders.

On November 19, 2020, the Company held its 2020 Annual Meeting of Stockholders. There were 75,461,873 shares issued, outstanding and eligible to vote at the meeting as of the record date of September 21, 2020, of which 67,945,499 shares were represented at the meeting, constituting 90.03% of the outstanding shares entitled to vote. The proposals considered at the meeting are described in detail in the Company’s 2020 Proxy Statement. The proposals voted upon at the meeting and the vote with respect to each such matter are set forth below:

(i) Election of Directors:

 

Name    For:    Against:    Abstentions:   

Broker Non-

Votes:

Harold L. Covert

    58,654,586    82,098    77,814    9,131,001

Penelope A. Herscher

    55,363,989    3,374,333    76,176    9,131,001

Julia S. Johnson

    57,695,846    1,038,240    80,412    9,131,001

Brian J. Lillie

    58,260,001    477,148    77,349    9,131,001

Alan S. Lowe

    58,671,438    67,126    75,934    9,131,001

Ian S. Small

    58,640,004    96,378    78,116    9,131,001

Janet S. Wong

    58,658,104    78,440    77,954    9,131,001

(ii) To approve, on a non-binding advisory basis, the compensation of the Company’s named executive officers:

 

     For:    Against:    Abstentions:    Broker Non-Votes:     
   57,185,412    1,369,871    259,215    9,131,001   

(iii) To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the period ending July 3, 2021:

 

     For:    Against:    Abstentions:                    
   67,717,073    137,693    90,733   

Signature

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

LUMENTUM HOLDINGS INC.
By:  

/s/ Judy Hamel

Name:     Judy Hamel
Title:   Senior Vice President, General Counsel and Secretary

November 24, 2020