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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B><FONT
STYLE="white-space:nowrap">Form&nbsp;8-K</FONT> </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or 15(d) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of report (Date of earliest event reported): February&nbsp;7, 2019 </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Lumentum Holdings Inc. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of Registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
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<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">001-36861</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">47-3108385</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or Other Jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of Incorporation)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification Number)</B></P></TD></TR>
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<TD VALIGN="top" COLSPAN="3" ALIGN="center"><B>400 North McCarthy Boulevard, Milpitas, CA</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>95035</B></TD></TR>
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<TD VALIGN="top" COLSPAN="3" ALIGN="center"><B>(Address of Principal Executive Offices)</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(408) <FONT STYLE="white-space:nowrap">546-5483</FONT> </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Registrant&#146;s Telephone Number,&nbsp;Including Area Code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Not Applicable </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former
Name or Former Address, if Changed Since Last Report) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below
if the <FONT STYLE="white-space:nowrap">Form&nbsp;8-K</FONT> filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: </P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule&nbsp;425 under the Securities Act (17 CFR 230.425)
</P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to <FONT STYLE="white-space:nowrap">Rule&nbsp;14a-12</FONT> under the Exchange Act
(17 CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to <FONT
STYLE="white-space:nowrap">Rule&nbsp;14d-2(b)&nbsp;under</FONT> the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to <FONT
STYLE="white-space:nowrap">Rule&nbsp;13e-4(c)&nbsp;under</FONT> the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this
chapter) or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934 <FONT STYLE="white-space:nowrap">(&#167;240.12b-2</FONT> of this chapter). </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Emerging growth company&nbsp;&nbsp;&#9744; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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&nbsp;13(a) of the Exchange
Act.&nbsp;&nbsp;&#9744; </P> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain
Officers Compensatory Arrangements of Certain Officers. </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On February&nbsp;8, 2019, Lumentum Holdings Inc. (&#147;Lumentum&#148; or the
&#147;Company&#148;) announced the appointment of Wajid Ali as chief financial officer of the Company, effective February&nbsp;11, 2019. Mr.&nbsp;Ali will also serve as the Company&#146;s principal financial officer, replacing Christopher Coldren
who had been serving as the Company&#146;s Interim Chief Financial Officer and principal financial officer. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Mr.&nbsp;Ali, 45, most recently served as
Senior Vice President and Chief Financial Officer of Synaptics Incorporated, a developer of human interface solutions, from May 2015 until February 2019. From November 2012 until May 2015, Mr.&nbsp;Ali served as Vice President and Controller of
Teledyne Technologies, a provider of enabling technologies for industrial growth markets, after having served as Vice President and Chief Financial Officer of Teledyne DALSA, a subsidiary of Teledyne Technologies, from February 2011 until November
2012, and as Chief Financial Officer of DALSA Corporation, a provider of high performance digital imaging and semiconductor technology, from May 2007 until February 2011, when DALSA was acquired by Teledyne. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Mr.&nbsp;Ali holds a Masters of Business Administration from the Schulich School of Business, York University, a Master of Arts degree and a Bachelor of Arts
degree in Economics from York University, and CPA and CMA designations from Chartered Professional Accountants of Ontario, Canada. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">There are no family
relationships between Mr.&nbsp;Ali and any of the Company&#146;s directors or executive officers and there are no arrangements or understandings between Mr.&nbsp;Ali and any other persons pursuant to which he was selected as an officer. There are no
related party transactions between Mr.&nbsp;Ali and the Company. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B><I>Compensation Arrangements </I></B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">In connection with Mr.&nbsp;Ali&#146;s appointment, the Company and Mr.&nbsp;Ali entered into an offer letter agreement (the &#147;Offer Letter&#148;) which
provides that as chief financial officer, he will receive an annual base salary of $500,000 and an annual target incentive bonus under the Company&#146;s Executive Officer Performance-based Incentive Plan of 80% of his base salary, provided that he
will receive a minimum target bonus amount of $250,000 for the second half of fiscal year 2019. The Offer Letter also provides for a grant of 22,154 restricted stock units (&#147;RSUs&#148;) which will vest over a three year period, with one third
of the RSUs vesting on the first anniversary of the vesting commencement date (anticipated to be February 15, 2019) and the remaining shares vesting ratably over the following two years on successive quarterly vesting dates, and a grant of 110,774
RSUs which will vest over a three year period, with 15% vesting on December&nbsp;15, 2019, 25% vesting on February&nbsp;15, 2020, and the remaining shares vesting ratably over the following two years on successive quarterly vesting dates. Vesting of
the RSUs are subject to Mr.&nbsp;Ali&#146;s continued service with the Company through each applicable vesting date, and are subject to the terms and conditions of the Company&#146;s 2015 Equity Incentive Plan, as amended, and the related form of
equity agreement. Mr.&nbsp;Ali will also be entitled to an equity award with a value of $2,875,000, consisting of RSUs and performance stock units, subject to approval by the Company&#146;s board of directors, which will be granted in accordance
with the Company&#146;s standard equity granting practices and will vest over three years, with one third of the RSUs vesting on the first anniversary of the vesting commencement date and the remaining shares vesting ratably over the following two
years on successive quarterly vesting dates. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Offer Letter further provides that Mr.&nbsp;Ali will receive a
<FONT STYLE="white-space:nowrap">sign-on</FONT> bonus of $1,000,000 subject to repayment of 100% of the <FONT STYLE="white-space:nowrap">sign-on</FONT> bonus in the event that his employment is terminated by the Company for Cause (as defined in the
Company&#146;s 2015 Change in Control and Severance Benefits Plan, as amended (the &#147;Change in Control Plan&#148;)) or by Mr.&nbsp;Ali voluntarily within the first year of his employment, and subject to repayment of 50% of the <FONT
STYLE="white-space:nowrap">sign-on</FONT> bonus on a <FONT STYLE="white-space:nowrap">pro-rated</FONT> basis over the number of months that he is employed in the event that his employment is terminated by the Company for Cause or by Mr.&nbsp;Ali
voluntarily within the second year of his employment. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Additionally, the Offer Letter provides that Mr.&nbsp;Ali is eligible to participate in the Change in
Control Plan, which provides that upon a termination of his employment without cause or resignation for good reason (as defined in the Change in Control Plan) but not between the time that the Company publicly announces a change in control or twelve
months following a change in control, then Mr.&nbsp;Ali would receive a cash severance payment equal to nine months of his base salary plus reimbursement for COBRA premiums up to nine months, and nine months of accelerated vesting for all time-based
equity awards. Additionally, if Mr.&nbsp;Ali is terminated between the date that the Company publicly announces a change in control or twelve months following a change in control, then Mr.&nbsp;Ali would receive a cash severance payment equal to
twenty-four months of his base salary plus reimbursement for COBRA premiums for up to twelve months, and will be entitled to full acceleration of vesting of all equity awards, with any performance-based equity awards accelerated at an assumed 100%
achievement of target conditions. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">In connection with his appointment, Mr.&nbsp;Ali will also enter into the Company&#146;s standard form of
indemnification agreement, a copy of which has previously been filed with the Securities and Exchange Commission on&nbsp;September 25, 2015 as Exhibit 10.8 to the Company&#146;s Annual Report on Form&nbsp;10-K. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">A copy of the press release issued by the Company announcing the appointment of Mr.&nbsp;Ali is attached hereto as Exhibit 99.1 and is incorporated by
reference herein. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The foregoing description of the Offer Letter contained herein is qualified in its entirety by reference to the full text of the Offer
Letter, a copy of which will be filed as an exhibit to the Company&#146;s Quarterly Report on Form <FONT STYLE="white-space:nowrap">10-Q.</FONT> </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;9.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Financial Statements and Exhibits. </B></P></TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">(d)</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Exhibits. </P></TD></TR></TABLE> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Exhibit</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>&nbsp;&nbsp;&nbsp;&nbsp;No.&nbsp;&nbsp;&nbsp;&nbsp;</B></P></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; "><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>99.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d696158dex991.htm">Press release entitled &#147;Lumentum Announces CFO Appointment&#148; dated February&nbsp;8, 2019. </A></TD></TR>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Signature </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><DIV ALIGN="right">
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<TD VALIGN="top" COLSPAN="3"><B>LUMENTUM HOLDINGS INC.</B></TD></TR>
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<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Judy Hamel</P></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Name:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Judy Hamel</TD></TR>
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<TD VALIGN="top">Title:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Senior Vice President, General Counsel</TD></TR>
</TABLE></DIV> <P STYLE="margin-top:12pt; margin-bottom:0pt; margin-left:2%; text-indent:-2%; font-size:10pt; font-family:Times New Roman">February&nbsp;8, 2019 </P>
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8-K
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): February 7, 2019
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)
400 North McCarthy Boulevard, Milpitas, CA
95035
(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))
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 February 8, 2019, Lumentum Holdings Inc. ("Lumentum" or the
"Company") announced the appointment of Wajid Ali as chief financial officer of the Company, effective February 11, 2019. Mr. Ali will also serve as the Company's principal financial officer, replacing Christopher Coldren
who had been serving as the Company's Interim Chief Financial Officer and principal financial officer.
Mr. Ali, 45, most recently served as
Senior Vice President and Chief Financial Officer of Synaptics Incorporated, a developer of human interface solutions, from May 2015 until February 2019. From November 2012 until May 2015, Mr. Ali served as Vice President and Controller of
Teledyne Technologies, a provider of enabling technologies for industrial growth markets, after having served as Vice President and Chief Financial Officer of Teledyne DALSA, a subsidiary of Teledyne Technologies, from February 2011 until November
2012, and as Chief Financial Officer of DALSA Corporation, a provider of high performance digital imaging and semiconductor technology, from May 2007 until February 2011, when DALSA was acquired by Teledyne.
Mr. Ali holds a Masters of Business Administration from the Schulich School of Business, York University, a Master of Arts degree and a Bachelor of Arts
degree in Economics from York University, and CPA and CMA designations from Chartered Professional Accountants of Ontario, Canada.
There are no family
relationships between Mr. Ali and any of the Company's directors or executive officers and there are no arrangements or understandings between Mr. Ali and any other persons pursuant to which he was selected as an officer. There are no
related party transactions between Mr. Ali and the Company.
Compensation Arrangements
In connection with Mr. Ali's appointment, the Company and Mr. Ali entered into an offer letter agreement (the "Offer Letter") which
provides that as chief financial officer, he will receive an annual base salary of $500,000 and an annual target incentive bonus under the Company's Executive Officer Performance-based Incentive Plan of 80% of his base salary, provided that he
will receive a minimum target bonus amount of $250,000 for the second half of fiscal year 2019. The Offer Letter also provides for a grant of 22,154 restricted stock units ("RSUs") which will vest over a three year period, with one third
of the RSUs vesting on the first anniversary of the vesting commencement date (anticipated to be February 15, 2019) and the remaining shares vesting ratably over the following two years on successive quarterly vesting dates, and a grant of 110,774
RSUs which will vest over a three year period, with 15% vesting on December 15, 2019, 25% vesting on February 15, 2020, and the remaining shares vesting ratably over the following two years on successive quarterly vesting dates. Vesting of
the RSUs are subject to Mr. Ali's continued service with the Company through each applicable vesting date, and are subject to the terms and conditions of the Company's 2015 Equity Incentive Plan, as amended, and the related form of
equity agreement. Mr. Ali will also be entitled to an equity award with a value of $2,875,000, consisting of RSUs and performance stock units, subject to approval by the Company's board of directors, which will be granted in accordance
with the Company's standard equity granting practices and will vest over three years, with one third of the RSUs vesting on the first anniversary of the vesting commencement date and the remaining shares vesting ratably over the following two
years on successive quarterly vesting dates.
The Offer Letter further provides that Mr. Ali will receive a
sign-on
bonus of $1,000,000 subject to repayment of 100% of the
sign-on
bonus in the event that his employment is terminated by the Company for Cause (as defined in the
Company's 2015 Change in Control and Severance Benefits Plan, as amended (the "Change in Control Plan")) or by Mr. Ali voluntarily within the first year of his employment, and subject to repayment of 50% of the
sign-on
bonus on a
pro-rated
basis over the number of months that he is employed in the event that his employment is terminated by the Company for Cause or by Mr. Ali
voluntarily within the second year of his employment.
Additionally, the Offer Letter provides that Mr. Ali is eligible to participate in the Change in
Control Plan, which provides that upon a termination of his employment without cause or resignation for good reason (as defined in the Change in Control Plan) but not between the time that the Company publicly announces a change in control or twelve
months following a change in control, then Mr. Ali would receive a cash severance payment equal to nine months of his base salary plus reimbursement for COBRA premiums up to nine months, and nine months of accelerated vesting for all time-based
equity awards. Additionally, if Mr. Ali is terminated between the date that the Company publicly announces a change in control or twelve months following a change in control, then Mr. Ali would receive a cash severance payment equal to
twenty-four months of his base salary plus reimbursement for COBRA premiums for up to twelve months, and will be entitled to full acceleration of vesting of all equity awards, with any performance-based equity awards accelerated at an assumed 100%
achievement of target conditions.
In connection with his appointment, Mr. Ali will also enter into the Company's standard form of
indemnification agreement, a copy of which has previously been filed with the Securities and Exchange Commission on September 25, 2015 as Exhibit 10.8 to the Company's Annual Report on Form 10-K.
A copy of the press release issued by the Company announcing the appointment of Mr. Ali is attached hereto as Exhibit 99.1 and is incorporated by
reference herein.
The foregoing description of the Offer Letter contained herein is qualified in its entirety by reference to the full text of the Offer
Letter, a copy of which will be filed as an exhibit to the Company's Quarterly Report on Form
10-Q.
Item 9.01.
Financial Statements and Exhibits.
(d)
Exhibits.
Exhibit
No.
Description
99.1
Press release entitled "Lumentum Announces CFO Appointment" dated February 8, 2019.
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
February 8, 2019