SEC Form 3 · accession 0001418100-18-000149
Avaya Holdings Corp. · AVYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dino Dipalma
Officer — SVP Americas Sales &Glb Accts
Period of report
Aug 23, 2018
Accepted (ET)
Aug 29, 2018 · 8:32 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001418100
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock - Restricted Stock UnitsF1,F2 | holding | — | — | — | 86,441 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3 | $22.28 | holding | — | — | — | — | Aug 22, 2028 | Common Stock, par value $0.01 per share | 21,000 | — | D |
Explanation of responses
- F1Each Restricted Stock Unit (each, an "RSU") represents a contingent right to receive, at vesting, one share of common stock of Avaya Holdings Corp. These RSUs were granted on August 22, 2018 pursuant to the Avaya Holdings Corp. 2017 Equity Incentive Plan (the "EIP").
- F233.34% of these RSUs will vest on August 15, 2019 and 8.33% will vest each Feb. 15, May 15, Aug. 15 and Nov. 15 thereafter.
- F3Granted on August 22, 2018 pursuant to the EIP, with 33.34% vesting and becoming exercisable on August 15, 2019 and 8.33% vesting and becoming exercisable on each Feb. 15, May 15, Aug. 15 and Nov. 15 thereafter.
Remarks
Remarks: Exhibit List: Exhibit 24 - Power of Attorney