Statement of Changes in Beneficial Ownership (4)
December 07 2020 - 4:33PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Shah Shefali A |
2. Issuer Name and Ticker or Trading Symbol
Avaya Holdings Corp.
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AVYA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, CAO and General Counsel |
(Last)
(First)
(Middle)
C/O AVAYA HOLDINGS CORP., 2605 MERIDIAN PARKWAY, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/3/2020 |
(Street)
DURHAM, NC 27713
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock - Restricted Stock Units (1) | 12/3/2020 | | A | | 38226 (2) | A | $0 | 107840 (3) | D | |
Common Stock, par value $0.01 per share | | | | | | | | 93902 (4) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Each Restricted Stock Unit (each, an "RSU") represents a contingent right to receive, at vesting, one share of common stock, par value $0.01 per share, of Avaya Holdings Corp. ("Common Stock"). |
(2) | Represents RSUs granted pursuant to the Avaya Holdings Corp. 2019 Equity Incentive Plan, with 33.34% vesting on the first anniversary of the grant date and 8.33% vesting each February 15, May 15, August 15 and November 15 commencing with the first such date in the fiscal quarter following the first anniversary of the grant date. |
(3) | These securities consist of RSUs previously reported on a Form 4 in Table I that have not, as of yet, vested in accordance with their terms. |
(4) | These securities represent the total number of Common Stock owned, which includes 474 shares purchased pursuant to the Avaya Holdings Corp. 2020 Employee Stock Purchase Plan ("ESPP"). This does not include any fractional shares acquired through the ESPP. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Shah Shefali A C/O AVAYA HOLDINGS CORP. 2605 MERIDIAN PARKWAY, SUITE 200 DURHAM, NC 27713 |
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| EVP, CAO and General Counsel |
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Signatures
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/s/ Danielle Bagatta, as attorney in fact for Shefali Shah | | 12/7/2020 |
**Signature of Reporting Person | Date |
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