---
schema_version: "secwatch.filing_event.v1"
accession: "0001193125-21-321796"
form_type: "8-K"
ticker: "LITE"
cik: "0001633978"
company_name: "Lumentum Holdings Inc."
filed_at: "2021-11-05T23:59:59+00:00"
generated_at: "2026-06-28T12:09:56.184296+00:00"
event_type: "m_and_a"
sentiment: "neutral"
materiality_score: 0.85
calibrated_materiality_score: 0.85
confidence: "high"
source: SEC EDGAR
---

# Lumentum to acquire NeoPhotonics for $16.00/share in all-cash deal; boards approve

## Summary
- Merger consideration of $16.00 per share in cash for each NeoPhotonics common share.
- Termination fees: $27.5M from NeoPhotonics for superior proposal; $55.1M from Lumentum for antitrust failure; additional $36.7M for certain actions.
- Lumentum arranged up to $50M in interim unsecured debt financing, two-year term at Prime Rate, subordinated to Wells Fargo facility.
- Closing conditioned on HSR waiting period, stockholder approvals from both companies; no financing condition.
- Boards of Lumentum and NeoPhotonics unanimously approved the Merger Agreement.

## SEC filing metadata
- accession: 0001193125-21-321796
- form_type: 8-K
- ticker: LITE
- cik: 0001633978
- company_name: Lumentum Holdings Inc.
- filed_at: 2021-11-05T23:59:59+00:00
- event_type: m_and_a
- sentiment: neutral
- materiality_score: 0.85
- calibrated_materiality_score: 0.85
- confidence: high
- sec_items: 1.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1633978/000119312521321796/0001193125-21-321796-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1633978/000119312521321796/d216381d8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001193125-21-321796
- JSON: https://secwatch.observer/filing/0001193125-21-321796.json
- Plain text: https://secwatch.observer/filing/0001193125-21-321796.txt

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.