Document


 
 
 
 
 

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 9, 2017
 
 
Lumentum Holdings Inc.
(Exact name of Registrant as specified in its charter)
 
 
Delaware
 
001-36861
 
47-3108385
(State or Other Jurisdiction
of Incorporation)
 
(Commission File Number)
 
(IRS Employer
Identification Number)
400 North McCarthy Boulevard, Milpitas, CA
 
95035
(Address of Principal Executive Offices)
 
(Zip Code)
(408) 546-5483
(Registrant’s Telephone Number, Including Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company o
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act o
 
 
 
 
 





Item 5.07 - Submission of Matters to a Vote of Security Holders.
On November 9, 2018, the Company held its 2018 Annual Meeting of Stockholders. There were 63,332,005 shares issued, outstanding and eligible to vote at the meeting as of the record date of September 10, 2018, of which 57,202,491 shares were represented at the meeting, constituting 90.32% of the outstanding shares entitled to vote. The proposals considered at the meeting are described in detail in the Company’s 2018 Proxy Statement. The proposals voted upon at the meeting and the vote with respect to each such matter are set forth below:
(i) Election of Directors:
 
 
 
 
 
Name
For:
Against:
Abstentions:
Broker Non-Votes:
Martin A. Kaplan
45,636,802
897,905
29,735
10,638,049
Harold L. Covert
46,414,084
119,466
30,892
10,638,049
Penelope A. Herscher
45,621,532
914,398
28,512
10,638,049
Julia S. Johnson
46,415,177
121,273
27,992
10,638,049
Brian J. Lillie
45,640,831
893,149
30,462
10,638,049
Alan S. Lowe
46,425,288
108,670
30,484
10,638,049
Samuel F. Thomas
46,422,312
108,362
33,768
10,638,049
(ii) To approve, on a non-binding advisory basis, the compensation of the Company’s named executive officers:
 
For:
Against:
Abstentions:
Broker Non-Votes:
43,739,517
2,755,896
69,029
10,638,049
(iii) To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the period ending June 29, 2019:
 
For:
Against:
Abstentions:
56,901,650
240,963
59,878




Signature
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
LUMENTUM HOLDINGS INC.
 
 
 
 
By:
/s/ Judy Hamel
 
Name:
Judy Hamel
 
Title:
Senior Vice President, General Counsel and Secretary
 
 
 
November 14, 2018