filings.toolsItem 15. EXHIBITS, FINANCIAL STATEMENTS SCHEDULES
15K characters. Original on sec.gov · Markdown
Item 15. EXHIBITS, FINANCIAL STATEMENTS SCHEDULES
1. Financial Statements
The financial statements filed as part of this report are listed in the “Index to Financial Statements” under Part II, Item 8 of this report.
2. Financial Statement Schedules
The following additional financial statement schedules should be considered in conjunction with our consolidated financial statements. All other financial statement schedules have been omitted because the required information is not present in amounts sufficient to require submission of the schedule, not applicable, or because the required information is included in the Consolidated Financial Statements or Notes thereto.
LUMENTUM HOLDINGS INC.
FINANCIAL STATEMENT SCHEDULES
SCHEDULE II - VALUATION AND QUALIFYING ACCOUNTS
| (in millions) | |||||||||||||||||||
| Balance at Beginning of Period | Assumed in Oclaro Acquisition | Increase (decrease) to Income Statement | Write Offs and Other Adjustments | Balance at End of Period | |||||||||||||||
| Accounts receivable allowance: | |||||||||||||||||||
| Fiscal year ended June 27, 2020 | $ | 4.5 | $ | — | $ | 0.1 | $ | (2.8 | ) | $ | 1.8 | ||||||||
| Fiscal year ended June 29, 2019 | $ | 2.6 | $ | 3.3 | $ | (0.2 | ) | $ | (1.2 | ) | $ | 4.5 | |||||||
| Fiscal year ended June 30, 2018 | $ | 1.8 | $ | — | $ | 0.9 | $ | (0.1 | ) | $ | 2.6 |
| (in millions) | ||||||||||||||||
| Description | Balance at Beginning of Period | Additions Charged to Expenses or Other Accounts* | Deductions Credited to Expenses or Other Accounts** | Balance at End of Period | ||||||||||||
| Deferred tax valuation allowance: | ||||||||||||||||
| Fiscal year ended June 27, 2020 | $ | 190.3 | $ | 16.3 | $ | (5.8 | ) | $ | 200.8 | |||||||
| Fiscal year ended June 29, 2019 | $ | 99.4 | $ | 153.9 | $ | (63.0 | ) | $ | 190.3 | |||||||
| Fiscal year ended June 30, 2018 | $ | 296.4 | $ | 234.1 | $ | (431.1 | ) | $ | 99.4 |
- Additions include current year additions charged to expenses and current year build due to increases in net deferred tax assets, return to provision true-ups, other adjustments to deferred taxes.
** Deductions include current year releases credited to expenses and current year reductions due to decreases in net deferred tax assets, return to provision true-ups, other adjustments to deferred taxes.
3. Exhibits
The following exhibits are filed herewith or are incorporated by reference to exhibits previously filed with the Securities and Exchange Commission.
| Incorporated by Reference | Filed | |||||||||
| Exhibit No. | Exhibit Description | Form | Exhibit | Filing Date | Herewith | |||||
| 2.1 | Contribution Agreement | 8-K | 2.1 | 8/6/2015 | ||||||
| 2.1 | Agreement and Plan of Merger, dated as of March 11, 2018, by and among Lumentum Holdings Inc., Oclaro, Inc., Prota Merger Sub, Inc. and Prota Merger, LLC | 8-K | 2.1 | 3/12/2018 | ||||||
| 2.2 | Separation and Distribution Agreement | 8-K | 2.2 | 8/6/2015 | ||||||
| 3.1 | Amended and Restated Certificate of Incorporation | 8-K | 3.1 | 8/6/2015 | ||||||
| 3.2 | Amended and Restated Bylaws | 8-K | 3.2 | 8/6/2015 | ||||||
| 4.1 | Indenture, dated March 8, 2017, between Lumentum Holdings Inc. and U.S. Bank National Association | 8-K | 4.1 | 3/9/2017 | ||||||
| 4.2 | Form of 0.250% Convertible Senior Notes due 2024 (included in Exhibit 4.2) | 8-K | 4.2 | 3/9/2017 | ||||||
| 4.3 | Description of Capital Stock | 10-K | 4.4 | 8/27/2019 |
| 104 | The cover page from Lumentum Holdings Inc.’s Annual Report on Form 10-K for the fiscal year ended June 27, 2020, formatted in Inline XBRL (included as Exhibit 101). | X |
- Indicates management contract or compensatory plan or arrangement.
† The certifications furnished in Exhibits 32.1 and 32.2 that accompany this Annual Report on Form 10-K, are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.
ITEM 16. FORM 10-K SUMMARY.
None.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this Annual Report on Form 10-K to be signed on its behalf by the undersigned, thereunto duly authorized.
| Date: | August 25, 2020 | LUMENTUM HOLDINGS INC. | |
| By: /s/ Wajid Ali | |||
| By: Wajid Ali | |||
| Executive Vice President and Chief Financial Officer | |||
| (Principal Financial Officer) |
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Wajid Ali and Judy Hamel, and each of them individually, as his or her attorney-in-fact, each with full power of substitution, for him or her in any and all capacities to sign any and all amendments to this Annual Report on Form 10-K, and to file the same, with exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that said attorney-in-fact, or his or her substitute, may do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Exchange Act of 1934, this Annual Report on Form 10-K has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
| Signature | Title | Date | ||
| /s/ ALAN LOWE | President, Chief Executive Officer and Director (principal executive officer) | August 25, 2020 | ||
| Alan Lowe | ||||
| /s/ WAJID ALI | Executive Vice President, Chief Financial Officer (principal financial officer) | August 25, 2020 | ||
| Wajid Ali | ||||
| /s/ MATTHEW SEPE | Chief Accounting Officer (principal accounting officer) | August 25, 2020 | ||
| Matthew Sepe | ||||
| /s/ HAROLD COVERT | Director | August 25, 2020 | ||
| Harold Covert | ||||
| /s/ JULIE JOHNSON | Director | August 25, 2020 | ||
| Julie Johnson | ||||
| /s/ PENELOPE HERSCHER | Director | August 25, 2020 | ||
| Penelope Herscher | ||||
| /s/ BRIAN LILLIE | Director | August 25, 2020 | ||
| Brian Lillie | ||||
| /s/ SAMUEL THOMAS | Director | August 25, 2020 | ||
| Samuel Thomas | ||||
| /s/ IAN SMALL | Director | August 25, 2020 | ||
| Ian Small |
Previous: Item 14. PRINCIPAL ACCOUNTING FEES AND SERVICES