SEC Form 4 · accession 0001418100-18-000181
Avaya Holdings Corp. · AVYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Louise Spradley
Director
Period of report
Dec 15, 2018
Accepted (ET)
Dec 18, 2018 · 4:24 pm EST
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, par value $0.01 per shareF1,F2 | Dec 15, 2018 | M | 3,212 | — | A | 12,847 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F2 | — | Dec 15, 2018 | M | 3,212 | D | — | — | Common Stock, par value $0.01 per share | 3,212 | 0 | D |
Explanation of responses
- F1Represents awards of Restricted Stock Units granted on January 23, 2018, pursuant to the Avaya Holdings Corp. 2017 Equity Incentive Plan (the "EIP"), that vest on December 15, 2018.
- F2Each Restricted Stock Unit represents a contingent right to receive, at vesting, one share of common stock of Avaya Holdings Corp. Distribution of this common stock will be deferred until the earliest to occur of: (x) December 15, 2020, (y) the recipient's separation of service from the registrant and (z) a "change in control" of the registrant, as defined in the EIP.
- F3Represents Restricted Stock Units that have vested as the Common Stock set forth in Table I.