filings.toolsItem 15. EXHIBITS, FINANCIAL STATEMENTS SCHEDULES
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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) in Consolidated Statements of Operations | Write Offs and Other Adjustments | Balance at End of Period | |||||||||||||||||||||||||||||||
| Allowance for credit losses: | |||||||||||||||||||||||||||||||||||
| Fiscal year ended July 3, 2021 | $ | 1.8 | $ | — | $ | 0.2 | $ | (1.6) | $ | 0.4 | |||||||||||||||||||||||||
| 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 | |||||||||||||||||||||||||
| (in millions) | ||||||||||||||||||||||||||
| Balance at Beginning of Period | Additions Charged to Costs/Expenses 1 | Deductions Credited to Costs/Expenses 2 | Balance at End of Period | |||||||||||||||||||||||
| Deferred tax valuation allowance: | ||||||||||||||||||||||||||
| Fiscal year ended July 3, 2021 | $ | 200.8 | $ | 68.7 | $ | — | $ | 269.5 | ||||||||||||||||||
| Fiscal year ended June 27, 2020 3 | $ | 190.3 | $ | 12.7 | $ | (2.2) | $ | 200.8 | ||||||||||||||||||
| Fiscal year ended June 29, 2019 3 | $ | 99.4 | $ | 93.5 | $ | (2.6) | $ | 190.3 | ||||||||||||||||||
(1) 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.
(2) Net 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) Certain prior period amounts have been reclassified to conform to current year presentation on a jurisdiction by jurisdiction basis.
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 | Agreement and Plan of Merger, dated as of January 18, 2021, by and among Lumentum Holdings Inc., Coherent, Inc., Cheetah Acquisition Sub, Inc. and Cheetah Acquisition Sub LLC. | 8-K | 2.1 | 1/19/2021 | ||||||||||||||||||||||||||||
| 2.3 | Amended and Restated Agreement and Plan of Merger, dated as of March 9, 2021, by and among Lumentum Holdings Inc., Coherent, Inc., Cheetah Acquisition Sub, Inc. and Cheetah Acquisition Sub LLC. | 8-K | 2.2 | 3/10/2021 | ||||||||||||||||||||||||||||
| 2.4 | 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 |
| 101 | The following financial information from Lumentum Holdings Inc.’s Annual Report on Form 10-K for the fiscal year ended July 3, 2021 formatted in Inline XBRL (eXtensible Business Reporting Language): (i) Consolidated Statements of Operations for the fiscal years ended July 3, 2021, June 27, 2020 and June 29, 2019; (ii) Consolidated Statements of Comprehensive Income for the fiscal years ended July 3, 2021, June 27, 2020 and June 29, 2019; (iii) Consolidated Balance Sheets as of July 3, 2021 and June 27, 2020; (iv) Consolidated Statements of Cash Flows for the fiscal years ended July 3, 2021, June 27, 2020 and June 29, 2019; (v) Consolidated Statements of Redeemable Convertible Preferred Stock and Stockholders’ Equity for the fiscal years ended July 3, 2021, June 27, 2020 and June 29, 2019; and (vi) Notes to the Consolidated Financial Statements | X | ||||||||||||||||||||||||||||||
| 104 | The cover page from Lumentum Holdings Inc.’s Annual Report on Form 10-K for the fiscal year ended July 3, 2021, 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.
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