Item 6. EXHIBITS
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Item 6. EXHIBITS
The following exhibits are filed herewith or are incorporated by reference to exhibits previously filed with the Securities and Exchange Commission.
| Exhibit | Incorporated by Reference | Filed | ||||||||||||||||||||||||||||||||||||
| No. | Exhibit Description | Form | File No. | Exhibit | Filing Date | Herewith | ||||||||||||||||||||||||||||||||
| 10.1 | Global Performance Unit Award Agreement | X | ||||||||||||||||||||||||||||||||||||
| 10.2 | Global Restricted Stock Unit Award Agreement | X | ||||||||||||||||||||||||||||||||||||
| 31.1 | Certification of the Chief Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||||||||||||||||||||||||||||||||||
| 31.2 | Certification of the Chief Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||||||||||||||||||||||||||||||||||
| 32.1† | Certification of the Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||||||||||||||||||||||||||||||||||
| 32.2† | Certification of the Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||||||||||||||||||||||||||||||||||
| 101 | The following financial information from Lumentum Holdings Inc.’s Quarterly Report on Form 10-Q for the fiscal quarter ended April 1, 2023 formatted in Inline XBRL (eXtensible Business Reporting Language): (i) Condensed Consolidated Statements of Operations for the three and nine months ended April 1, 2023 and April 2, 2022; (ii) Condensed Consolidated Statements of Comprehensive Income (Loss) for the three and nine months ended April 1, 2023 and April 2, 2022; (iii) Condensed Consolidated Balance Sheets as of April 1, 2023 and July 2, 2022; (iv) Condensed Consolidated Statements of Stockholders’ Equity for the three and nine months ended April 1, 2023 and April 2, 2022; (v) Condensed Consolidated Statements of Cash Flows for the nine months ended April 1, 2023 and April 2, 2022, and (vi) Notes to the Consolidated Financial Statements. | X | ||||||||||||||||||||||||||||||||||||
| 104 | Cover Page Interactive Data File, formatted in Inline XBRL (included in Exhibit 101). | X |
† The certifications furnished in Exhibits 32.1 and 32.2 that accompany this report 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 report, irrespective of any general incorporation language contained in such filing.
SIGNATURES
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 thereunto duly authorized.
| LUMENTUM HOLDINGS INC. | |||||||||||
| Date: | May 9, 2023 | By: /s/ Wajid Ali | |||||||||
| By: Wajid Ali | |||||||||||
| Executive Vice President, Chief Financial Officer | |||||||||||
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