Item 5. Other Information
Item 5. Other Information
Rule 10b5-1 Trading Arrangements
On September 10, 2024 , Kevin Siebert , Senior Vice President, General Counsel and Secretary of VIAVI, entered into a prearranged trading plan that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of an indeterminable number of shares of common stock. Mr. Siebert’s plan begins on September 10, 2024, and expires when all of the shares are sold or on September 30, 2025 , whichever occurs first. The earliest date that sales could occur under this plan is December 10, 2024.
On September 11, 2024 , Luke Scrivanich , Senior Vice President, General Manager OSP of VIAVI, entered into a prearranged trading plan that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of an indeterminable number of shares of common stock. Mr. Scrivanich’s plan begins on September 11, 2024, and expires when all of the shares are sold or on September 30, 2025 , whichever occurs first. The earliest date that sales could occur under this plan is December 11, 2024.
None of VIAVI’s other directors or Section 16 officers adopted , modified or terminated a trading arrangement intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or a “non-Rule” 10b5–1 trading arrangement, as those terms are defined in Regulation S-K, Item 408, during the fiscal quarter ended September 28, 2024.
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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
10.1
Equity Incentive Plan Form of Notice and Restricted Stock Unit Agreement
8-K 10.1 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
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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 1, 2024 VIAVI SOLUTIONS INC.
(Registrant)
By: /s/ ILAN DASKAL
Name: ILAN DASKAL
Title: Executive Vice President and Chief Financial Officer
(Duly Authorized Officer and Principal Financial and Accounting Officer)
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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.