Statement of Changes in Beneficial Ownership (4)
17 Mai 2022 - 10:53PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * Shah
Shefali A |
2. Issuer Name and Ticker or Trading
Symbol Avaya Holdings Corp. [ AVYA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
EVP and CAO |
(Last)
(First)
(Middle)
C/O AVAYA HOLDINGS CORP., 2605 MERIDIAN PARKWAY, SUITE
200 |
3. Date of Earliest Transaction (MM/DD/YYYY)
5/15/2022
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(Street)
DURHAM, NC 27713
(City)
(State)
(Zip)
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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 - Restricted Stock
Units |
5/15/2022 |
|
M |
|
7586 (1) |
D |
$0 |
70846 (2) |
D |
|
Common Stock, par value $0.01 per
share |
5/15/2022 |
|
A |
|
7586 (1) |
A |
$0 |
133925 (3) |
D |
|
Common Stock, par value $0.01 per
share |
5/15/2022 |
|
F |
|
2893 (4) |
D |
$6.33 |
131032 (3) |
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 |
Explanation of
Responses: |
(1) |
Represents the number of
shares of common stock, par value $0.01 per share, of Avaya
Holdings Corp. ("Common Stock"), which vested pursuant to various
Restricted Stock Unit (each, an "RSU") awards. These RSUs were
previously reported on Table I on a Form 4. |
(2) |
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. Each RSU represents
a contingent right to receive, at vesting, one share of Common
Stock. |
(3) |
These securities represent
the total number of Common Stock owned, which includes 1,284 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. |
(4) |
Represents the number of
shares of Common Stock withheld by Avaya Holdings Corp. to cover
tax withholding obligations in connection with the vesting of
RSUs. |
Reporting
Owners
|
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 |
|
|
EVP and CAO |
|
Signatures
|
/s/ Danielle Bagatta, as attorney in fact for
Shefali Shah |
|
5/17/2022 |
**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. |
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