Statement of Changes in Beneficial Ownership (4)
January 04 2021 - 4:14PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
CHIRICO JAMES M |
2. Issuer Name and Ticker or Trading Symbol
Avaya Holdings Corp.
[
AVYA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O AVAYA HOLDINGS CORP., 2605 MERIDIAN PARKWAY, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2020 |
(Street)
DURHAM, NC 27713
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, par value $0.01 per share | 12/31/2020 | | M | | 121746 | A | (1) | 880075 | D | |
Common Stock, par value $0.01 per share | 12/31/2020 | | F | | 54421 | D | $19 | 825654 | D | |
Common Stock - Restricted Stock Units | | | | | | | | 437079 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Restricted Stock Units (3) | (1) | 12/31/2020 | | M | | | 121746 (4) | (5) | (5) | Common Stock, par value $0.01 per share | 121746.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Restricted Stock Units convert into common stock, par value $0.01 per share, of Avaya Holdings Corp. ("Common Stock") on a one-for-one basis. These shares of Common Stock represent Restricted Stock Units that have vested as set forth in Table II. |
(2) | These securities consist of 437,079 Restricted Stock Units previously reported on a Form 4 in Table 1. |
(3) | Each Restricted Stock Unit represents a contingent right to receive, at vesting, one share of Common Stock. These Restricted Stock Units were granted on December 15, 2017 pursuant to the Avaya Holdings Corp. 2017 Equity Incentive Plan. |
(4) | Represents Restricted Stock Units that have vested as the Common Stock set forth in Table 1. |
(5) | 33.33% of these Restricted Stock Units vested on December 15, 2018 and 8.33% vest on the last day of each quarter thereafter. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CHIRICO JAMES M C/O AVAYA HOLDINGS CORP. 2605 MERIDIAN PARKWAY, SUITE 200 DURHAM, NC 27713 | X |
| President & CEO |
|
Signatures
|
/s/ Danielle Bagatta, as attorney in fact for James M. Chirico, Jr. | | 1/4/2021 |
**Signature of Reporting Person | Date |
Avaya (NYSE:AVYA)
Historical Stock Chart
From Apr 2024 to May 2024
Avaya (NYSE:AVYA)
Historical Stock Chart
From May 2023 to May 2024