LITE / Lumentum Holdings Inc. - تصريحات هيئة الأوراق المالية والبورصات، التقرير السنوي، بيان الوكيل

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 28, 2025 ☐ TRANSITION REPORT PURSUANT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 28, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861

Subsidiaries of Lumentum Holdings Inc.

Exhibit 21.1 LIST OF SUBSIDIARIES LUMENTUM HOLDINGS INC. AS OF JUNE 28, 2025 Name of Entity State or Other Jurisdiction of Incorporation or Organization DOMESTIC LumentumRadiant GmbH - U.S. Branch California Lumentum Inc. Delaware Lumentum Designs LLC Delaware Lumentum Operations LLC Delaware Lumentum Italy Inc. Delaware Lumentum Fiber Optics, Inc. Delaware Lumentum Networks LLC Delaware Lumentum

Compensation Recovery Policy

Lumentum Holdings Inc. COMPENSATION RECOVERY POLICY As amended on November 16, 2023 Lumentum Holdings Inc. (the “Company”) is committed to strong corporate governance. As part of this commitment, the Company’s Board of Directors (the “Board”)1 has adopted this clawback policy called the Compensation Recovery Policy (the “Policy”). The Policy is intended to further the Company’s pay-for-performance

FY 2024 (1)

NEWS RELEASE LUMENTUM ANNOUNCES FOURTH QUARTER AND FULL FISCAL YEAR 2025 RESULTS Fiscal Fourth Quarter Highlights: •Net revenue of $480.

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): August 12, 2025 Lumentum Holdings

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): August 12, 2025 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Regulation FD Disclosure, Financial Statements and Exhibits

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): June 3, 2025 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission Fil

Q4 FY25 Updated Outlook June 3, 2025 © 2024 Lumentum Operations LLC 2 Forward Looking Statements and Financial Presentation This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Sect

Q4 FY25 Updated Outlook June 3, 2025 © 2024 Lumentum Operations LLC 2 Forward Looking Statements and Financial Presentation This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.

Lumentum Holdings Inc. Conflict Minerals Report For the Calendar Year Ended December 31, 2024

Lumentum Holdings Inc. Conflict Minerals Report For the Calendar Year Ended December 31, 2024 Introduction Lumentum Holdings Inc. (“we”, “our”, “Lumentum” or the “Company”) is an industry-leading provider of optical and photonic products defined by revenue and market share addressing a range of end market applications including Optical Communications (“OpComms”) and Commercial Lasers (“Lasers”) fo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report 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 Executiv

As filed with the Securities and Exchange Commission on May 14, 2025

As filed with the Securities and Exchange Commission on May 14, 2025 Registration No.

Table 1: Newly Registered Securities

Calculation of Filing Fee Tables S-8 Lumentum Holdings Inc. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common stock, $0.001 par value per share, reserved for issuance pursuant to the Lumentum Holdings Inc. 2025 In

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 29, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum

FY 2024 (1)

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL THIRD QUARTER 2025 FINANCIAL RESULTS •Net revenue of $425.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): May 6, 2025 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

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Lumentum Holdings Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation  Rule Amount Registered  Proposed Maximum  Offering Price Per Unit Maximum Aggregate Offering Price  Fee Rate Amount of Registration  Fee (1)  Equity  Common stock,

As filed with the Securities and Exchange Commission on April 14, 2025

As filed with the Securities and Exchange Commission on April 14, 2025 Registration No.

JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k)

EX-99.1 2 p25-0499exhibit991.htm JOINT FILING AGREEMENT EXHIBIT 99.1 JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of fi

EX-99

EX-99 2 exhibit99.txt Exhibit 99 Pursuant to the instructions in Item 7 of Schedule 13G, the following table lists the identity and Item 3 classification, if applicable, of each relevant entity that beneficially owns shares of the security class being reported on this Schedule 13G. Entity ITEM 3 Classification FIAM LLC IA Fidelity Diversifying Solutions LLC IA Fidelity Institutional Asset Manageme

Lumentum Holdings Inc. Inducement Performance Stock Unit Award Agreement.

Exhibit 4.5 PSU (2025 INDUCEMENT PLAN) LUMENTUM HOLDINGS INC. 2025 INDUCEMENT EQUITY INCENTIVE PLAN GLOBAL NOTICE OF PERFORMANCE UNIT AWARD Grantee’s Name and Employee ID: Award Number: [NAME} Date of Award: [EMPLOYEE ID] Type of Award: Performance units Vesting Commencement Date: You (the “Grantee”) have been granted a Performance Unit award (the “Award”), subject to the terms and conditions of t

As filed with the Securities and Exchange Commission on February 6, 2025

As filed with the Securities and Exchange Commission on February 6, 2025 Registration No.

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Lumentum Holdings Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee (1) Equity Common stock, $0.001

Lumentum Holdings Inc. Inducement Restricted Stock Unit Award Agreement.

Exhibit 4.4 LUMENTUM HOLDINGS INC. 2025 INDUCEMENT EQUITY INCENTIVE PLAN GLOBAL NOTICE OF RESTRICTED STOCK UNIT AWARD Grantee’s Name and Employee ID: Award Number: %%OPTIONNUMBER%-% %%FIRSTNAMEMIDDLENAMELASTNAME%-% Date of Award: %%OPTIONDATE,‘DD-Mon-YYYY’%-% %%EMPLOYEEIDENTIFIER%-% Type of Award: Restricted Stock Units Vesting Commencement Date: %%VESTDATEPERIOD1%-% You (the “Grantee”) have been

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 6, 2025 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 28, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lument

Lumentum Holdings Inc. 2025 Inducement Equity Incentive Plan

Exhibit 4.3 LUMENTUM HOLDINGS INC. 2025 INDUCEMENT EQUITY INCENTIVE PLAN (Effective February 6, 2025) 1. Establishment and Purpose of the Plan. The purpose of this Plan is to attract and retain talented personnel by providing an inducement material to individuals entering into employment with the Company or any Parent or Subsidiary of the Company. The Plan permits the grant of Non-Qualified Stock

FY 2024 (1)

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL SECOND QUARTER 2025 FINANCIAL RESULTS •Net revenue of $402.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): January 28, 2025 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Lumentum Announces Leadership Transition Michael Hurlston Appointed President and CEO Alan Lowe to Retire as President and CEO Provides Preliminary Fiscal Second Quarter 2025 Results

Exhibit 99.1 Lumentum Announces Leadership Transition Michael Hurlston Appointed President and CEO Alan Lowe to Retire as President and CEO Provides Preliminary Fiscal Second Quarter 2025 Results SAN JOSE, Calif. – February 3, 2025—Lumentum Holdings Inc. (“Lumentum” or the “Company”), a market-leading designer and manufacturer of innovative optical and photonic products for cloud/AI, networking, a

Offer Letter dated January 28, 2025

Exhibit 10.1 Lumentum Offer of Employment January 28, 2025 Michael Hurlston delivered via electronic mail Dear Michael, On behalf of Lumentum Holdings Inc. (“Company”), we are very excited to provide you an offer of employment at Lumentum Operations, LLC (“Lumentum”) to serve as Chief Executive Officer of the Company and Lumentum on the terms and conditions set forth in the letter and the attached

Transition Agreement dated February 2, 2025

Exhibit 10.2 TRANSITION AGREEMENT AND RELEASE This Transition Agreement and Release (“Transition Agreement”) is made by and among Lumentum Holdings Inc. (the “Company”), Lumentum Operations, LLC (the “Employer”), and Alan Lowe (“Employee”) (collectively, referred to as the “Parties” or individually referred to as a “Party”). RECITALS WHEREAS, Employee is employed at-will by the Company and the Emp

Lumentum Appoints New Board Member

EX-99.1 2 d884351dex991.htm EX-99.1 Exhibit 99.1 Lumentum Appoints New Board Member Paul Lundstrom Brings Wealth of Knowledge in Finance, Manufacturing, and Business Transformation December 12, 2024 SAN JOSE, Calif., Dec. 12, 2024 /PRNewswire/ — Lumentum Holdings Inc. (“Lumentum”), a market-leading designer and manufacturer of innovative optical and photonic products for cloud, networking and indu

Financial Statements and Exhibits

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): December 7, 2024 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

2015 Equity Incentive Plan, as amended

LUMENTUM HOLDINGS, INC. 2015 EQUITY INCENTIVE PLAN (As Amended and Restated 2024) 1. Establishment and Purpose of the Plan. The Lumentum Holdings, Inc. Amended and Restated 2015 Equity Incentive Plan was originally adopted effective as of June 23, 2015. The purpose of the Plan is to provide incentives to attract, retain and motivate eligible persons whose present and potential contributions are im

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 20, 2024 Lumentum Holdin

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 20, 2024 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissio

LITE / Lumentum Holdings Inc. / Point72 Asset Management, L.P. - LUMENTUM HOLDINGS INC. Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Lumentum Holdings Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 55024U109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua

First Supplemental Indenture, dated as of September 25, 2024, to the Indenture for the 2026 Notes dated December 12, 2019, by and between Lumentum Holdings Inc. and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association).

LUMENTUM HOLDINGS INC. AND U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION as Trustee FIRST SUPPLEMENTAL INDENTURE First Supplemental Indenture (this “Supplemental Indenture”), dated as of September 25, 2024, between Lumentum Holdings Inc., a Delaware corporation (the “Company”), and U.S. Bank Trust Company, National Association, as successor in interest to U.S. Bank National Association, a national

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 28, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumen

FY 2024 (1)

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FIRST QUARTER 2025 FINANCIAL RESULTS •Net revenue of $336.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 7, 2024 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

LITE / Lumentum Holdings Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Lumentum Holdings Inc (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) October 31, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

LITE / Lumentum Holdings Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Lumentum Holdings Inc (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

October 16, 2024

October 16, 2024 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14

DEFINITIVE PROXY STATEMENT

LUMENTUM /LUMENTUM LUMENTUM HOLDINGS INC. 1001 RIDDER PARK DRIVE SAN JOSE, CALIFORNIA 95131 October 3, 2024 Dear Lumentum Stockholders: We are pleased to invite you to attend the Annual Meeting of stockholders of Lumentum Holdings Inc. on November 20, 2024, at 8:00 a.m. (Pacific Time), which will be a "virtual meeting" of stockholders, conducted via the Internet. Fiscal 2024 marked the most challe

September 19, 2024

Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.

Subsidiaries of Lumentum Holdings Inc.

Exhibit 21.1 LIST OF SUBSIDIARIES LUMENTUM HOLDINGS INC. AS OF JUNE 29, 2024 Name of Entity State or Other Jurisdiction of Incorporation or Organization DOMESTIC LumentumRadiant GmbH - U.S. Branch California Lumentum Inc. Delaware Lumentum Designs LLC Delaware Lumentum Operations LLC Delaware Lumentum Italy Inc. Delaware Lumentum Fiber Optics, Inc. Delaware Lumentum Optics Inc. Delaware Lumentum S

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Twelve Months Ended June 29, 2024 July 1, 2023 June 29, 2024 July 1, 2023 Net revenue $ 308.3 $ 370.8 $ 1,359.2 $ 1,767.0 C

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FOURTH QUARTER AND FULL YEAR 2024 RESULTS Fiscal Fourth Quarter Highlights: •Net revenue of $308.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 14, 2024 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 29, 2024 ☐ TRANSITION REPORT PURSUANT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 29, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861

Lumentum Holdings Inc. Insider Trading Policy

Doc ID: 10139520-026 Revision: 001 Doc Type: POLICY Page 1 of 15 Lumentum Holdings Inc.

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Twelve Months Ended June 29, 2024 July 1, 2023 June 29, 2024 July 1, 2023 Net revenue $ 308.3 $ 370.8 $ 1,359.2 $ 1,767.0 C

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FOURTH QUARTER AND FULL YEAR 2024 RESULTS Fiscal Fourth Quarter Highlights: •Net revenue of $308.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): August 14, 2024 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

August 2, 2024

August 2, 2024 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.

July 17, 2024

Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.

LITE / Lumentum Holdings Inc. / Point72 Asset Management, L.P. - LUMENTUM HOLDINGS INC. Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Lumentum Holdings Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 55024U109 (CUSIP Number) July 1, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi

JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)

EXHIBIT 99.1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned ackn

Conflict Minerals Report of Lumentum Holdings Inc. for the reporting period from January 1, 2023 to December 31, 2023

Lumentum Holdings Inc. Conflict Minerals Report For the Calendar Year Ended December 31, 2023 Introduction Lumentum Holdings Inc. (“we”, “our”, “Lumentum” or the “Company”) is an industry-leading provider of optical and photonic products defined by revenue and market share addressing a range of end market applications including Optical Communications (“OpComms”) and Commercial Lasers (“Lasers”) fo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 (State or Other Jurisdiction of Incorporati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 (State or Other Jurisdiction of Incorporation) (Commission File Number) 1001 Ridder Park Drive, San Jose, CA 95131 (Address of Principal Executive Offices) (Zip Code) Jae Kim, Sr. Vice Presiden

May 9, 2024

May 9, 2024 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): May 6, 2024 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

FY 2023 (1)

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL THIRD QUARTER 2024 FINANCIAL RESULTS •Net revenue of $366.

April 24, 2024

Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.

March 15, 2024

March 15, 2024 VIA EDGAR SUBMISSION Mindy Hooker and Anne McConnell Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.

May 15, 2024

May 15, 2024 VIA EDGAR SUBMISSION Mindy Hooker and Anne McConnell Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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 23, 2024 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissio

LITE / Lumentum Holdings Inc. / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Lumentum Holdings Inc (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

LITE / Lumentum Holdings Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv01372-lumentumholdingsinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: Lumentum Holdings Inc Title of Class of Securities: Common Stock CUSIP Number: 55024U109 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to de

JOINT FILING AGREEMENT

Invesco Joint Filing Agreement JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) (l) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of the attached Schedule 13G, and any and all amendments thereto, and expressly authorize Invesco Ltd.

LITE / Lumentum Holdings Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment

SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Lumentum Holdings Inc (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Lumentum Holdings Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, $0.001 p

As filed with the Securities and Exchange Commission on February 9, 2024

As filed with the Securities and Exchange Commission on February 9, 2024 Registration No.

FY 2023 (1)

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL SECOND QUARTER 2024 FINANCIAL RESULTS •Net revenue of $366.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lument

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 8, 2024 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Unaudited Pro Forma Condensed Combined Financial Information

Exhibit 99.3 Unaudited Pro Forma Condensed Combined Financial Information Introduction On October 29, 2023, Lumentum Holdings Inc. ("Lumentum”) entered into a definitive agreement to acquire Cloud Light Optoelectronics Limited (“Cloud Light”) through the merger of Crius Merger Sub Inc. with and into Cloud Light (the “Merger”), with Cloud Light continuing as the surviving corporation in the Merger

Cloud Light Optoelectronics Limited 雲暉光電有限公司 Consolidated financial statements for the year ended March 31, 2023 kpmg 1 Independent Auditor’s Report To the board of directors of Cloud Light Optoelectronics Limited: Report on the Audit of the Consolid

exhibit991auditedconsoli Cloud Light Optoelectronics Limited 雲暉光電有限公司 Consolidated financial statements for the year ended March 31, 2023 kpmg 1 Independent Auditor’s Report To the board of directors of Cloud Light Optoelectronics Limited: Report on the Audit of the Consolidated Financial Statements Qualified Opinion We have audited the consolidated financial statements of Cloud Light Optoelectron

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A 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 2, 2023 Lumentum Holdi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A 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 2, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissi

Cloud Light Optoelectronics Limited 雲暉光電有限公司 Interim Financial Report for the three months ended June 30, 2023 Cloud Light Optoelectronics Limited Financial statements for the period ended June 30, 2023 1 Condensed consolidated statement of profit or

exhibit992unauditedconso Cloud Light Optoelectronics Limited 雲暉光電有限公司 Interim Financial Report for the three months ended June 30, 2023 Cloud Light Optoelectronics Limited Financial statements for the period ended June 30, 2023 1 Condensed consolidated statement of profit or loss and other comprehensive income for the three months ended June 30, 2023 - unaudited (Expressed in Hong Kong dollars unl

As filed with the Securities and Exchange Commission on November 30, 2023

As filed with the Securities and Exchange Commission on November 30, 2023 Registration No.

Amended and Restated Share Option Scheme of Cloud Light Optoelectronics Limited and form agreements

Exhibit 4.3 CLOUD LIGHT OPTOELECTRONICS LIMITED (雲暉光電有限公司) (Incorporated in the British Virgin Islands with limited liability) AMENDED AND RESTATED SHARE OPTION SCHEME Adopted by a resolution of the shareholders of CLOUD LIGHT OPTOELECTRONICS LIMITED (雲暉光電有限公司) on 25 June 2021 and Amended by a resolution of the shareholders of CLOUD LIGHT OPTOELECTRONICS LIMITED (雲暉光電有限公司) on 29 October 2023 and A

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Lumentum Holdings Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par valu

2015 Equity Incentive Plan, as amended

EXHIBIT 10.1 LUMENTUM HOLDINGS, INC. 2015 EQUITY INCENTIVE PLAN (As Amended and Restated September 15, 2023) 1. Establishment and Purpose of the Plan. The Lumentum Holdings, Inc. Amended and Restated 2015 Equity Incentive Plan was originally adopted effective as of June 23, 2015. The purpose of the Plan is to provide incentives to attract, retain and motivate eligible persons whose present and pot

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

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 17, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 8, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Amended and Restated Change in Control and Severance Benefits Plan, effective August 22, 2023

Exhibit 10.1 LUMENTUM HOLDINGS INC. CHANGE IN CONTROL AND SEVERANCE BENEFITS PLAN AS AMENDED AND RESTATED 1.Introduction. This Lumentum Holdings Inc. (“Company”) Change in Control and Severance Benefits Plan (the “Plan”) was established effective April 14, 2015 and amended and restated on August 22, 2023 (the “Effective Date”). (a)Purpose. The purpose of the Plan is to provide certain benefits to

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumen

FY 2023 (1)

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FIRST QUARTER 2024 FINANCIAL RESULTS •Net revenue of $317.

Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events

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 2, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

LUMENTUM ANNOUNCES COMPLETION OF CLOUD LIGHT ACQUISITION

Exhibit 99.1 LUMENTUM ANNOUNCES COMPLETION OF CLOUD LIGHT ACQUISITION San Jose, Calif., November 7, 2023– Lumentum Holdings Inc. (NASDAQ: LITE) (“Lumentum”) today announced that it has completed its previously announced acquisition of Cloud Light Technology Limited (“Cloud Light”). “I am excited to add Cloud Light’s high-speed optical transceiver products, differentiated technology, and talented t

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): October 29, 2023 Lumentum Holding

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): October 29, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Agreement and Plan of Merger, dated as of October 29, 2023.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among LUMENTUM HOLDINGS INC., CRIUS MERGER SUB INC., CLOUD LIGHT OPTOELECTRONICS LIMITED, AND FORTIS ADVISORS LLC, as Securityholder Representative October 29, 2023 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 1.1 The Merger 2 1.2 General Effects of the Merger 3 1.3 Effects of the Merger on Securities of Merging Corporations 3 1.4 Rights Not Transfe

###

Exhibit 99.1 LUMENTUM TO ACQUIRE CLOUD LIGHT TO ACCELERATE DATA CENTER SPEED AND SCALABILITY • Combination expected to deliver a more than five-fold expansion in Lumentum’s cloud intra-data center served opportunity • Served opportunity expected to grow at over 30% CAGR through 2028, driven by investments to support the rapid proliferation of Artificial Intelligence and Machine Learning (AI/ML) ap

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.

COURTESY PDF OF PROXY STATEMENT

LUMENTUM HOLDINGS INC. 1001 RIDDER PARK DRIVE SAN JOSE, CALIFORNIA 95131 September 22, 2023 D Dear Lumentum Stockholders: We are pleased to invite you to attend the Annual Meeting of stockholders of Lumentum Holdings Inc. on November 17, 2023 at 8:00 a.m. (Pacific Time), which will be a “virtual meeting” of stockholders, conducted via the Internet. We recently completed our eighth year as a standa

NOTICE OF ANNUAL MEETING OF STOCKHOLDERS TABLE OF CONTENTS PROXY SUMMARY PROXY STATEMENT FOR 2023 ANNUAL MEETING OF STOCKHOLDERS CORPORATE GOVERNANCE PROPOSAL NO. 1 ELECTION OF DIRECTORS PROPOSAL NO. 2 ADVISORY VOTE TO APPROVE COMPENSATION OF OUR NAM

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.

LITE / Lumentum Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: Lumentum Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 55024U109 Date of Event Which Requires Filing of this Statement: August 31, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended July 1, 2023 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended July 1, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 L

Subsidiaries of Lumentum Holdings Inc.

Exhibit 21.1 LIST OF SUBSIDIARIES LUMENTUM HOLDINGS INC. AS OF JULY 1, 2023 Name of Entity State or Other Jurisdiction of Incorporation or Organization DOMESTIC LumentumRadiant GmbH - U.S. Branch California Lumentum Inc. Delaware Lumentum Designs LLC Delaware Lumentum Operations LLC Delaware Lumentum Italy Inc. Delaware Lumentum Fiber Optics, Inc. Delaware Lumentum Optics Inc. Delaware Lumentum Sy

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Twelve Months Ended July 1, 2023 July 2, 2022 July 1, 2023 July 2, 2022 Net revenue $ 370.8 $ 422.1 $ 1,767.0 $ 1,712.6 Cos

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FOURTH QUARTER AND FULL YEAR 2023 RESULTS Fiscal Fourth Quarter Highlights: •Net revenue of $370.

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): August 17, 2023 Lumentum Holdings

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): August 17, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

LITE / Lumentum Holdings Inc / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6 )* Lumentum Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) July 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch

Indenture, dated June 16, 2023, between Lumentum Holdings Inc. and U.S. Bank Trust Company, National Association.

EX-4.1 Exhibit 4.1 Execution Version LUMENTUM HOLDINGS INC. (Company) U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Trustee) 1.50% Convertible Senior Notes due 2029 INDENTURE Dated as of June 16, 2023 ARTICLE 1. DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Definitions 1 Section 1.02 References to Interest 13 Section 1.03 Acts of Holders 13 ARTICLE 2. THE NOTES 15 Section

Lumentum Holdings Inc. Announces Upsize and Pricing of $525 Million Convertible Notes Offering

EX-99.2 Exhibit 99.2 Lumentum Holdings Inc. Announces Upsize and Pricing of $525 Million Convertible Notes Offering SAN JOSE, Calif., June 13, 2023 – Lumentum Holdings Inc. (“Lumentum”) (NASDAQ: LITE) today announced the pricing of $525 million aggregate principal amount of convertible senior notes due 2029 (the “notes”) in a private placement to qualified institutional buyers pursuant to Rule 144

Purchase Agreement, dated as of June 13, 2023, between Lumentum Holdings Inc. and Goldman Sachs & Co. LLC, as representative of the Initial Purchasers named in Schedule I thereto.

EX-10.1 Exhibit 10.1 Execution Version Lumentum Holdings Inc. 1.50% Convertible Senior Notes due 2029 Purchase Agreement June 13, 2023 Goldman Sachs & Co. LLC, 200 West Street, New York, New York 10282-2198 Ladies and Gentlemen: Lumentum Holdings Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions set forth in this agreement (this “Agreement”), to issue and

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): June 12, 2023 Lumentum Holdings I

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): June 12, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission Fi

-2-

EX-99.1 Exhibit 99.1 Lumentum Holdings Inc. Announces $500 Million Convertible Notes Offering SAN JOSE, Calif., June 12, 2023 — Lumentum Holdings Inc. (“Lumentum”) (NASDAQ: LITE) today announced its intention to offer, subject to market conditions and other factors, $500 million aggregate principal amount of convertible senior notes due in 2029 (the “notes”) in a private placement to qualified ins

Conflict Minerals Report of Lumentum Holdings Inc. for the reporting period from January 1, 2022 to December 31, 2022

Lumentum Holdings Inc. Conflict Minerals Report For the Calendar Year Ended December 31, 2022 Introduction Lumentum Holdings Inc. (“we”, “us”, “our”, “Lumentum” or the “Company”) is an industry-leading provider of optical and photonic products defined by revenue and market share addressing a range of end market applications including Optical Communications and Commercial Lasers (“Lasers”) for manu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report 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 Executiv

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): May 9, 2023 Lumentum Holdings Inc

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): May 9, 2023 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 1, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum H

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Nine Months Ended April 1, 2023 April 2, 2022 April 1, 2023 April 2, 2022 Net revenue $ 383.4 $ 395.4 $ 1,396.2 $ 1,290.5 C

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL THIRD QUARTER 2023 FINANCIAL RESULTS •Net revenue of $383.

Global Restricted Stock Unit Award Agreement

Exhibit 10.2 LUMENTUM HOLDINGS INC. 2015 EQUITY INCENTIVE PLAN GLOBAL NOTICE OF RESTRICTED STOCK UNIT AWARD Grantee’s Name and Address: Award Number: Date of Award: Type of Award: Restricted Stock Units Vesting Commencement Date: You (the “Grantee”) have been granted a restricted stock unit award (the “Award”), subject to the terms and conditions of this Global Notice of Restricted Stock Unit Awar

Global Performance Unit Award Agreement

Exhibit 10.1 LUMENTUM HOLDINGS INC. 2015 EQUITY INCENTIVE PLAN GLOBAL NOTICE OF PERFORMANCE UNIT AWARD Grantee’s Name and Address: Award Number: Date of Award: Type of Award: Performance Units You (the “Grantee”) have been granted a Performance Unit award (the “Award”), subject to the terms and conditions of this Global Notice of Performance Unit Award (the “Notice”), the Lumentum Holdings Inc. 20

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): April 5, 2023 Lumentum Holdings I

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): April 5, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission Fi

Lumentum Announces Preliminary Financial Results and Reporting Date for Fiscal Third Quarter 2023, and Increased Share Repurchase Program

Lumentum Announces Preliminary Financial Results and Reporting Date for Fiscal Third Quarter 2023, and Increased Share Repurchase Program SAN JOSE, Calif.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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 22, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissio

Lumentum Announces Appointment of New Board Member

EX-99.1 Exhibit 99.1 NEWS RELEASE Lumentum Announces Appointment of New Board Member San Jose, Calif., February 23, 2023 – Lumentum Holdings Inc. (“Lumentum”), a market-leading designer and manufacturer of innovative optical and photonic products, today announced the appointment of Pamela Fletcher as an independent member of the Company’s Board of Directors, effective immediately. This election ex

LITE / Lumentum Holdings Inc / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Lumentum Holdings Inc (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

LITE / Lumentum Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv01338-lumentumholdingsinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7)* Name of issuer: Lumentum Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 55024U109 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to d

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Six Months Ended December 31, 2022 January 1, 2022 December 31, 2022 January 1, 2022 Net revenue $ 506.0 $ 446.7 $ 1,012.8

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL SECOND QUARTER 2023 FINANCIAL RESULTS •Net revenue of $506.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 9, 2023 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lument

LITE / Lumentum Holdings Inc / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5 )* Lumentum Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

LITE / Lumentum Holdings Inc / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* Lumentum Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) November 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

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 16, 2022 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissio

2015 Equity Incentive Plan, as amended

LUMENTUM HOLDINGS, INC. 2015 EQUITY INCENTIVE PLAN (As Amended and Restated November 16, 2022) 1. Establishment and Purpose of the Plan. The Lumentum Holdings, Inc. Amended and Restated 2015 Equity Incentive Plan was originally adopted effective as of June 23, 2015. The purpose of the Plan is to provide incentives to attract, retain and motivate eligible persons whose present and potential contrib

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended October 1, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 8, 2022 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended October 1, 2022 October 2, 2021 Net revenue $ 506.8 $ 448.4 Cost of sales 282.6 200.4 Amortization of acquired developed in

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FIRST QUARTER 2023 FINANCIAL RESULTS •Net revenue of $506.

DEFINITIVE PROXY STATEMENT

1 LUMENTUM HOLDINGS INC. 1001 RIDDER PARK DRIVE SAN JOSE, CALIFORNIA 95131 September 28, 2022 Dear Lumentum Stockholders: We are pleased to invite you to attend the Annual Meeting of stockholders of Lumentum Holdings Inc. on November 16, 2022 at 8:00 am (Pacific Time), which will be a “virtual meeting” of stockholders, conducted via the Internet. We recently completed our seventh year as a standal

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant ? Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant ? Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14

Subsidiaries of Lumentum Holdings Inc.

Exhibit 21.1 LIST OF SUBSIDIARIES LUMENTUM HOLDINGS INC. AS OF JULY 2, 2022 Name of Entity State or Other Jurisdiction of Incorporation or Organization DOMESTIC CCOP International Holdings Inc. Delaware LumentumRadiant GmbH - U.S. Branch California Lumentum Inc. Delaware Lumentum Designs LLC Delaware Lumentum Operations LLC Delaware Lumentum Italy Inc. Delaware Lumentum Fiber Optics, Inc. Delaware

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended July 2, 2022 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended July 2, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 L

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Twelve Months Ended July 2, 2022 July 3, 2021 July 2, 2022 July 3, 2021 Net revenue $ 422.1 $ 392.1 $ 1,712.6 $ 1,742.8 Cos

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FOURTH QUARTER AND FULL YEAR 2022 RESULTS Fiscal Fourth Quarter Highlights: ?Net revenue of $422.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): August 16, 2022 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Filing Fee Table.

EX-FILING FEES 4 d253870dexfilingfees.htm EX-FILING FEES Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Lumentum Holdings Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate

Power of Attorney (contained on the signature page hereto).

S-8 1 d253870ds8.htm S-8 As filed with the Securities and Exchange Commission on August 4, 2022 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under The Securities Act of 1933 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 47-3108385 (State or other jurisdiction of incorporation o

Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events

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): August 3, 2022 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission F

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Exhibit 99.1 News Release: Lumentum Announces Completion of NeoPhotonics Acquisition Release Date: August 3, 2022 Lumentum Announces Completion of NeoPhotonics Acquisition SAN JOSE, Calif., August 3, 2022 /PRNewswire/ – Lumentum Holdings Inc. (NASDAQ: LITE) (“Lumentum”), today announced that it has completed its previously announced acquisition of NeoPhotonics Corporation (“NeoPhotonics”). “I am e

SAN JOSE, Calif., July 29, 2022 /PRNewswire/ — Lumentum Holdings Inc. (NASDAQ: LITE) (“Lumentum”) and NeoPhotonics Corporation (NYSE: NPTN) (“NeoPhotonics”) today announced, in connection with Lumentum’s pending acquisition of NeoPhotonics, that Lume

Exhibit 99.1 SAN JOSE, Calif., July 29, 2022 /PRNewswire/ ? Lumentum Holdings Inc. (NASDAQ: LITE) (?Lumentum?) and NeoPhotonics Corporation (NYSE: NPTN) (?NeoPhotonics?) today announced, in connection with Lumentum?s pending acquisition of NeoPhotonics, that Lumentum has obtained antitrust clearance from the People?s Republic of China?s State Administration for Market Regulation. This clearance sa

Financial Statements and Exhibits, Other Events

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): July 29, 2022 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission Fi

Conflict Minerals Report of Lumentum Holdings Inc. for the reporting period from January 1, 2021 to December 31, 2021

Lumentum Holdings Inc. Conflict Minerals Report For the Calendar Year Ended December 31, 2021 Introduction Lumentum Holdings Inc. (“we”, “our”, “Lumentum” or the “Company”) is an industry-leading provider of optical and photonic products defined by revenue and market share addressing a range of end market applications including Optical Communications (“OpComms”) and Commercial Lasers (“Lasers”) fo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report 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 Executiv

As filed with the Securities and Exchange Commission on May 6, 2022

As filed with the Securities and Exchange Commission on May 6, 2022 Registration No.

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Lumentum Holdings Inc. (Exact name of registrant as specified in its charter) Table 1 ? Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, $0.001 p

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): May 4, 2022 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 2, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum H

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Nine Months Ended April 2, 2022 April 3, 2021 April 2, 2022 April 3, 2021 Net revenue $ 395.4 $ 419.5 $ 1,290.5 $ 1,350.7 C

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL THIRD QUARTER 2022 FINANCIAL RESULTS ?Net revenue of $395.

Purchase Agreement, dated as of March 3, 2022, between Lumentum Holdings Inc. and Goldman Sachs & Co. LLC and BofA Securities, Inc.

Exhibit 10.1 Execution Version Lumentum Holdings Inc. 0.50% Convertible Senior Notes due 2028 Purchase Agreement March 3, 2022 Goldman Sachs & Co. LLC, 200 West Street, New York, New York 10282-2198 BofA Securities, Inc., One Bryant Park, New York, New York 10036 Ladies and Gentlemen: Lumentum Holdings Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditions set

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

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): March 3, 2022 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission Fi

Indenture dated March 8, 2022, between Lumentum Holdings Inc. and U.S. Bank Trust Company, National Association

Exhibit 4.1 LUMENTUM HOLDINGS INC. (Company) U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Trustee) 0.50% Convertible Senior Notes due 2028 INDENTURE Dated as of March 8, 2022 ARTICLE 1. DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Definitions 1 Section 1.02 References to Interest 14 Section 1.03 Acts of Holders 14 ARTICLE 2. THE NOTES 16 Section 2.01 Title and Terms; Pa

-2-

Exhibit 99.1 Lumentum Holdings Inc. Announces $750 Million Convertible Notes Offering SAN JOSE, Calif., March 3, 2022 ? Lumentum Holdings Inc. (?Lumentum?) (NASDAQ: LITE) today announced its intention to offer, subject to market conditions and other factors, $750 million aggregate principal amount of convertible senior notes due in 2028 (the ?notes?) in a private placement to qualified institution

Lumentum Holdings Inc. Announces Pricing of $750 Million Convertible Notes Offering

Exhibit 99.2 Lumentum Holdings Inc. Announces Pricing of $750 Million Convertible Notes Offering SAN JOSE, Calif., March 3, 2022 ? Lumentum Holdings Inc. (?Lumentum?) (NASDAQ: LITE) today announced the pricing of $750 million aggregate principal amount of convertible senior notes due 2028 (the ?notes?) in a private placement to qualified institutional buyers pursuant to Rule 144A under the Securit

LITE / Lumentum Holdings Inc / ALLIANCEBERNSTEIN L.P. Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Lumentum Holdings Inc (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc

LITE / Lumentum Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: Lumentum Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 55024U109 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed

LITE / Lumentum Holdings Inc / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Lumentum Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended January 1, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 3, 2022 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Six Months Ended January 1, 2022 December 26, 2020 January 1, 2022 December 26, 2020 Net revenue $ 446.7 $ 478.8 $ 895.1 $

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL SECOND QUARTER 2022 FINANCIAL RESULTS ?Net revenue of $446.

Lumentum and NeoPhotonics Announce HSR Clearance

Exhibit 99.1 Lumentum and NeoPhotonics Announce HSR Clearance SAN JOSE, Calif., Jan. 21, 2022 /PRNewswire/ ? Lumentum Holdings Inc. (NASDAQ: LITE) (?Lumentum?) and NeoPhotonics Corporation (NYSE: NPTN) (?NeoPhotonics?) today announced the expiration of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the ?HSR Act?) with respect to Lumentum?s pending transaction wi

Financial Statements and Exhibits, Other Events

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): January 21, 2022 (January 20, 2022) Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

2015 Equity Incentive Plan, as Amended and Restated November 19, 2021

LUMENTUM HOLDINGS, INC. 2015 EQUITY INCENTIVE PLAN (As Amended and Restated November 19, 2021) 1.Establishment and Purpose of the Plan. The Lumentum Holdings Inc. Amended and Restated 2015 Equity Incentive Plan was originally adopted effective as of June 23, 2015. The purpose of the Plan is to provide incentives to attract, retain and motivate eligible persons whose present and potential contribut

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

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, 2021 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Agreement and Plan of Merger by and among Lumentum Holdings Inc., Neptune Merger Sub, Inc. and NeoPhotonics Corporation, dated as of November 3, 2021

EX-2.1 2 d216381dex21.htm EX-2.1 Table of Contents Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among LUMENTUM HOLDINGS INC. NEPTUNE MERGER SUB, INC. and NEOPHOTONICS CORPORATION Dated as of November 3, 2021 Table of Contents TABLE OF CONTENTS Page ARTICLE I DEFINITIONS & INTERPRETATIONS 1 1.1 Certain Definitions 1 1.2 Additional Definitions 10 1.3 Certain Interpretations 14 ARTICLE II THE MERG

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 5, 2021 (November 3, 2021) Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

LUMENTUM TO ACQUIRE NEOPHOTONICS TO ACCELERATE OPTICAL NETWORK SPEED AND

Exhibit 99.1 LUMENTUM TO ACQUIRE NEOPHOTONICS TO ACCELERATE OPTICAL NETWORK SPEED AND SCALABILITY ? Combination accelerates Lumentum?s penetration of the fast-growing opportunity for high-speed optical components for cloud and telecom network infrastructure and creates a better partner for customers globally ? Expected to be immediately accretive to non-GAAP earnings per share and deliver more tha

Current Report

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 4, 2021 (November 3, 2021) Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorpo

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended October 2, 2021 September 26, 2020 Net revenue $ 448.4 $ 452.4 Cost of sales 200.4 231.7 Amortization of acquired developed

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FIRST QUARTER 2022 FINANCIAL RESULTS ?Net revenue of $448.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended October 2, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A 1 d203397ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permi

Change in Control and Severance Benefits Plan, as amended and restated on June 2, 2021

Exhibit 10.2 LUMENTUM HOLDINGS INC. CHANGE IN CONTROL AND SEVERANCE BENEFITS PLAN AS AMENDED AND RESTATED 1. Introduction. This Lumentum Holdings Inc. (?Company?) Change in Control and Severance Benefits Plan (the ?Plan?) is established effective April 14, 2015, as amended and restated on June 2, 2021 (the ?Effective Date?). (a) Purpose. The purpose of the Plan is to provide certain benefits to El

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A 1 d194304ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permi

Amended and Restated Employment Agreement for Alan Lowe

Exhibit 10.1 LUMENTUM HOLDINGS INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (the ?Agreement?) is entered into by and among Lumentum Holdings Inc. (the ?Company?), Lumentum Operations, LLC (the ?Employer?), and Alan Lowe (?Executive?) to be effective as of September 1, 2021 (the ?Effective Date?). This Agreement supersedes the employment agreement by

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 4, 2021 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant ? Filed by a Party other than the Registrant CHECK THE APPROPRIATE BOX: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

DEFA14A 1 lite3932931-defa14a.htm DEFINITIVE ADDITIONAL PROXY SOLICITING MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a Party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Conf

DEFINITIVE PROXY STATEMENT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended July 3, 2021 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended July 3, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 L

Subsidiaries of Lumentum Holdings Inc.

Exhibit 21.1 LIST OF SUBSIDIARIES LUMENTUM HOLDINGS INC. AS OF JULY 3, 2021 Name of Entity State or Other Jurisdiction of Incorporation or Organization DOMESTIC CCOP International Holdings Inc. Delaware Lumentum Inc. Delaware Lumentum Operations LLC Delaware Lumentum Italy Inc. Delaware Lumentum Fiber Optics, Inc. Delaware Lumentum Optics Inc. Delaware INTERNATIONAL Bookham International Ltd. Caym

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Twelve Months Ended July 3, 2021 June 27, 2020 July 3, 2021 June 27, 2020 Net revenue $ 392.1 $ 368.1 $ 1,742.8 $ 1,678.6 C

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FOURTH QUARTER AND FULL YEAR 2021 RESULTS Fiscal Fourth Quarter Highlights: ?Net revenue of $392.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): August 18, 2021 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): June 2, 2021 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission Fil

Isaac Harris Joins Lumentum Board of Directors Latest Addition to Board Adds Unique and Valuable Operational Leadership

Isaac Harris Joins Lumentum Board of Directors Latest Addition to Board Adds Unique and Valuable Operational Leadership San Jose, Calif.

LETTER

United States securities and exchange commission logo June 2, 2021 Wajid Ali Chief Financial Officer Lumentum Holdings Inc.

Conflict Minerals Report of Lumentum Holdings Inc. for the reporting period from

Lumentum Holdings Inc. Conflict Minerals Report For the Calendar Year Ended December 31, 2020 Introduction Lumentum Holdings Inc. (“we”, “our”, “Lumentum” or the “Company”) is an industry-leading provider of optical and photonic products defined by revenue and market share addressing a range of end market applications including Optical Communications (“OpComms”) and Commercial Lasers (“Lasers”) fo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of

SD 1 formsd2020.htm SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report 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 (Addres

May 26, 2021

May 26, 2021 VIA EDGAR SUBMISSION Mindy Hooker Division of Corporation Finance Office of Manufacturing Securities and Exchange Commission 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 3, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumentum H

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): May 12, 2021 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission Fil

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Nine Months Ended April 3, 2021 March 28, 2020 April 3, 2021 March 28, 2020 Net revenue $ 419.5 $ 402.8 $ 1,350.7 $ 1,310.5

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL THIRD QUARTER 2021 FINANCIAL RESULTS ?Net revenue of $419.

May 5, 2021

Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.

LETTER

United States securities and exchange commission logo April 28, 2021 Wajid Ali Chief Financial Officer Lumentum Holdings Inc.

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on March 23, 2021. Lumentum Announces Revised Proposal for Coherent SAN JOSE, Calif., March 23, 2021 ? Lumentum Hol

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on March 18, 2021. Lumentum Comments on Notification from Coherent of a Company Superior Proposal SAN JOSE, Calif.,

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on March 17, 2021. FOR IMMEDIATE RELEASE Lumentum Announces Revised Proposal for Coherent Silver Lake to Make a $1

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on March 12, 2021. FOR IMMEDIATE RELEASE Lumentum Comments on Notification from Coherent of a Company Superior Prop

Amended and Restated Commitment Letter, dated as of March 9, 2021, by and among Lumentum Holdings Inc., Deutsche Bank Securities Inc. and Deutsche Bank AG New York Branch.

Exhibit 10.1 DEUTSCHE BANK AG NEW YORK BRANCH DEUTSCHE BANK SECURITIES INC. 60 Wall Street New York, New York 10005 March 9, 2021 Lumentum Holdings Inc. 400 North McCarthy Boulevard Milpitas, California 95035 Attention: Wajid Ali, Executive Vice President and Chief Financial Officer Project Cheetah Term Loan Facilities Amended and Restated Commitment Letter Ladies and Gentlemen: Reference is made

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.

Exhibit 2.1 AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER by and among COHERENT, INC., LUMENTUM HOLDINGS INC., CHEETAH ACQUISITION SUB, INC., and CHEETAH ACQUISITION SUB LLC Dated as of March 9, 2021 TABLE OF CONTENTS ARTICLE I THE MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Merger 2 Section 1.5 Organizational Documents 2 Sect

Lumentum Announces Amended Transaction Agreement with Coherent Affirms Commitment to Uniting Global Industry Leaders to Accelerate the Future of Photonics Lumentum to Acquire Coherent in a $6.6 Billion Cash and Stock Transaction Expects to Deliver Mo

EX-99.1 Exhibit 99.1 Lumentum Announces Amended Transaction Agreement with Coherent Affirms Commitment to Uniting Global Industry Leaders to Accelerate the Future of Photonics Lumentum to Acquire Coherent in a $6.6 Billion Cash and Stock Transaction Expects to Deliver More than $190 Million in Annual Run-rate Synergies within 36 Months of Transaction Close Expects Transaction to be Accretive to No

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

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): March 10, 2021 (March 9, 2021) Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporatio

Merger Prospectus - 425

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): March 10, 2021 (March 9, 2021) Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporatio

Merger Prospectus - 425

425 1 d67083d425.htm 425 Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communications were first made available on March 8, 2021. Lumentum Comments on Notification from Coherent of a Company Superior

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communications were first made available on March 3, 2021 at the Raymond James 42nd Annual Institutional Investor Conference. CORPORATE PARTICIPANTS Simon

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communications were first made available on February 11, 2021 at the Goldman Sachs Technology and Internet Conference. Lumentum Holdings February 11, 2021

Merger Prospectus - 425

425 Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on February 11, 2021. Lumentum Highlights Misleading Statements by MKS Instruments in Proposal to Acquire Coher

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5)*

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5)* Name of issuer: Lumentum Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 55024U109 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed

Merger Prospectus - 425

425 Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on February 8, 2021. Lumentum Comments on Proposal by MKS Instruments to Acquire Coherent Lumentum Believes its

SCHEDULE 13G

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Lumentum Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 55024U109 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 2, 2021 Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorporation) (Commission

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 26, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lument

Merger Prospectus - 425

425 Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communications were first made available on February 2, 2021 during Lumentum Holdings, Inc.’s Q2 2021 earnings call. Alan S. Lowe – President, Chief E

LUMENTUM HOLDINGS INC. CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS (in millions, except per share data) Three Months Ended Six Months Ended December 26, 2020 December 28, 2019 December 26, 2020 December 28, 2019 Net revenue $ 478.8 $ 457.8 $ 931.

NEWS RELEASE LUMENTUM ANNOUNCES FISCAL SECOND QUARTER 2021 FINANCIAL RESULTS •Net revenue of $478.

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. Lumentum Holdings Inc. and Coherent, Inc. Combination Conference Call January 19, 2021 Lumentu

Commitment Letter, dated as of January 18, 2021, by and among Lumentum Holdings Inc., Deutsche Bank Securities Inc. and Deutsche Bank AG New York Branch.

Exhibit 10.1 EXECUTION VERSION DEUTSCHE BANK AG NEW YORK BRANCH DEUTSCHE BANK SECURITIES INC. 60 Wall Street New York, New York 10005 January 18, 2021 Lumentum Holdings Inc. 400 North McCarthy Boulevard Milpitas, California 95035 Attention: Wajid Ali, Executive Vice President and Chief Financial Officer Project Cheetah Term Loan Facilities Commitment Letter Ladies and Gentlemen: You have advised e

LUMENTUM HOLDINGS INC. RECONCILIATION OF GAAP MEASURES TO NON-GAAP MEASURES (in millions, except per share data)

Exhibit 99.1 NEWS RELEASE LUMENTUM PROVIDES PRELIMINARY FISCAL SECOND QUARTER 2021 FINANCIAL RESULTS San Jose, Calif., January 19, 2021 – Lumentum Holdings Inc. (“Lumentum” or the “Company”) today reported preliminary results for its fiscal second quarter of 2021 ended December 26, 2020. Preliminary Results for the Fiscal Second Quarter 2021 • Net revenue of approximately $478.8 million • GAAP ope

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. SUBJECT LINE: Excited to Welcome Coherent to Lumentum January 19, 2021 Dear Coherent Team, I w

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. Uniting Global Industry Leaders to Accelerate the Future of Photonics January 19, 2021 2 © 202

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. LITE Coherent Customer FAQ 1. What did you announce today? · We announced that we are joining

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. SUBJECT LINE: Exciting News from Lumentum and Coherent January 19, 2021 Dear Valued Supplier a

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. LITE Coherent Employee FAQ Why are we joining forces with and acquiring Coherent, Inc.? · Lase

Merger Prospectus - 425

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): January 19, 2021 (January 18, 2021) Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorpo

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.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among COHERENT, INC., LUMENTUM HOLDINGS INC., CHEETAH ACQUISITION SUB, INC., and CHEETAH ACQUISITION SUB LLC Dated as of January 18, 2021 TABLE OF CONTENTS Article I THE MERGERS 2 Section 1.1 The Mergers 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Mergers 3 Section 1.5 Organizational Documents 3 Section 1.6 Directo

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. SUBJECT LINE: Exciting News from Lumentum and Coherent January 19, 2021 Dear Valued Customer a

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. LITE Coherent Supplier FAQ 1. Why are you joining forces with and acquiring Coherent, Inc.? ·

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. SUBJECT LINE: Exciting News! Lumentum to Acquire Coherent January 19, 2021 Dear Lumentum Team,

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events - FORM 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): January 19, 2021 (January 18, 2021) Lumentum Holdings Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36861 47-3108385 (State or Other Jurisdiction of Incorpo

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communications were first made available on January 19, 2021. LITE Social Media Posts Twitter @Lumentum and @CoherentInc are combining in a transaction th

Merger Prospectus - 425

Filed by Lumentum Holdings Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Coherent, Inc. Commission File No.: 001-33962 The following communication was first made available on January 19, 2021. + LUMENTUM AND COHERENT TO COMBINE, UNITING GLOBAL INDUSTRY LEADERS TO ACCELERATE THE FUTURE O

LUMENTUM AND COHERENT TO COMBINE, UNITING GLOBAL INDUSTRY LEADERS TO ACCELERATE THE FUTURE OF PHOTONICS

Exhibit 99.2 NEWS RELEASE LUMENTUM AND COHERENT TO COMBINE, UNITING GLOBAL INDUSTRY LEADERS TO ACCELERATE THE FUTURE OF PHOTONICS • Lumentum to acquire Coherent in a $5.7 billion cash and stock transaction • Brings together highly complementary, best-in-class portfolios and teams to accelerate photonic innovation, and significantly expands Lumentum’s penetration of the more than $10 billion market

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders - FORM 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): 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) (Commissio

Financial Statements and Exhibits, Results of Operations and Financial Condition - 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): November 2, 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

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 26, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36861 Lumen

GAAP Results ($ in millions)

EX-99.1 2 liteex991q1fy21.htm EXHIBIT 99.1 NEWS RELEASE LUMENTUM ANNOUNCES FISCAL FIRST QUARTER 2021 FINANCIAL RESULTS • Net revenue of $452.4 million • GAAP gross margin of 45.5%; Non-GAAP gross margin of 52.0% • GAAP operating margin of 21.9%; Non-GAAP operating margin of 33.7% • GAAP diluted net income per share of $0.86; Non-GAAP diluted net income per share of $1.78 San Jose, Calif., November

- DEFINITIVE ADDITIONAL PROXY SOLICITING MATERIALS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a Party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin