Statement of Changes in Beneficial Ownership (4)
December 16 2022 - 04:16PM
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 * King Theodore Walker
Cheng-De |
2. Issuer Name and Ticker or Trading
Symbol Avaya Holdings Corp. [ AVYA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
UNIT 1502, 15TH FLOOR, 99 HENNESSY ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/14/2022
|
(Street)
WANCHAI, HONG KONG, K3 999077
(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 |
|
|
|
|
|
|
|
13231350 |
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 |
2.25% Convertible Senior Notes due
2023 |
$27.76 |
12/14/2022 |
|
P |
|
500000 |
|
(1)(2) |
6/15/2023 |
Common Stock |
18012 |
$59287.75 |
500000 |
D |
|
2.25% Convertible Senior Notes due
2023 |
$27.76 |
|
|
|
|
|
|
(1)(2) |
6/15/2023 |
Common Stock |
22262 |
|
618000 |
D |
|
2.25% Convertible Senior Notes due
2023 |
$27.76 |
|
|
|
|
|
|
(1)(2) |
6/15/2023 |
Common Stock |
36023 |
|
1000000 |
D |
|
2.25% Convertible Senior Notes due
2023 |
$27.76 |
|
|
|
|
|
|
(1)(2) |
6/15/2023 |
Common Stock |
36023 |
|
1000000 |
D |
|
Put Option (obligation to
buy) |
$1.50 |
|
|
|
|
|
|
(3) |
3/17/2023 |
Common Stock |
5000000 |
|
50000 |
D |
|
Explanation of
Responses: |
(1) |
Holders may convert the
Convertible Senior Notes at the holders' option on or after March
15, 2023. In addition, holders may convert the Convertible Senior
Notes, at the holders' option, prior to March 15, 2023 only under
the following circumstances: (a) during any calendar quarter, if
the last reported sale price of the Issuer's common stock for at
least 20 trading days (whether or not consecutive) during a period
of 30 consecutive trading days ending on, and including, the last
trading day of the immediately preceding calendar quarter is
greater than or equal to 130% of the conversion price on each
applicable trading day; (b) during the five business day period
after any five consecutive trading day period (the "Measurement
Period") |
(2) |
(Continued from Footnote 1),
in which the trading price per $1,000 principal amount of the
Convertible Senior Notes for each trading day of the Measurement
Period was less than 98% of the product of the last reported sales
price of the Issuer's common stock and the conversion rate on each
such trading day; or (c) upon the occurrence of certain specified
corporate events. |
(3) |
These are put option
contracts written by the Reporting Person which provide that the
Reporting Person will be required to purchase shares of Common
Stock at the stated strike price if the counterparty exercises such
option. Exchange-traded options are immediately exercisable and
remain exercisable until expiration. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
King Theodore Walker Cheng-De
UNIT 1502, 15TH FLOOR, 99 HENNESSY ROAD
WANCHAI, HONG KONG, K3 999077 |
|
X |
|
|
Signatures
|
/s/ Theodore Walker Cheng-De King |
|
12/16/2022 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
Avaya (NYSE:AVYA)
Historical Stock Chart
From Apr 2023 to May 2023
Avaya (NYSE:AVYA)
Historical Stock Chart
From May 2022 to May 2023