Item 5. Other Information
Item 5. Other Information
Rule 10b5-1 Trading Arrangements
On September 12, 2023 , Paul A. McNab , Executive Vice President, Chief Marketing and Strategy Officer of VIAVI, entered into a prearranged trading plan (the “10b5-1 Plan”) that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of up to 8,374 shares of common stock. The 10b5-1 Plan begins on September 12, 2023, and expires when all of the shares are sold or on December 29, 2023, whichever occurs first. The earliest date that sales could occur under this plan is December 12, 2023.
The Rule 10b5-1 trading arrangement described above was adopted and precleared in accordance with VIAVI’s Insider Trading Policy and actual sale transactions made pursuant to such trading arrangements will be disclosed publicly in future Section 16 filings with the SEC.
62
Table of Contents
Item 6. Exhibits
The exhibits required to be filed herewith by Item 601 of Regulation S-K, as described in the following index of exhibits, are attached hereto unless otherwise indicated as being incorporated by reference, as follows:
Incorporated by Reference Filed Furnished
Exhibit No. Exhibit Description Form Exhibit Filing Date Herewith Not Filed
31.1
Certification of the Chief Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
X
31.2
Certification of the Chief Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
32.1
Certification of the Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
32.2
Certification of the Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
101.SCH Inline XBRL Taxonomy Extension Schema X
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document X
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document X
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document X
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document X
104 Cover Page Interactive Data File - (formatted as Inline XBRL and contained in Exhibit 101)
X
63
Table of Contents
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Date: November 3, 2023 VIAVI SOLUTIONS INC.
(Registrant)
By: /s/ PAM AVENT
Name: PAM AVENT
Title: Interim Chief Financial and Accounting Officer
(Duly Authorized Officer and Principal Financial and Accounting Officer)
64
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.