SEC Form 4 · accession 0001418100-18-000185
Avaya Holdings Corp. · AVYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Chirico
Officer — President & CEO · Director
Period of report
Dec 15, 2018
Accepted (ET)
Dec 18, 2018 · 4:31 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 | Dec 15, 2018 | M | 486,980 | — | A | 486,980 | D | |
| Common Stock, par value $0.01 per share | Dec 15, 2018 | F | 218,893 | $17.58 | D | 268,087 | 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 UnitsF2,F1,F3 | — | Dec 15, 2018 | M | 486,980 | D | — | — | Common Stock, par value $0.01 per share | 486,980 | 973,963 | D |
Explanation of responses
- F1Restricted Stock Units convert into Common Stock on a one-for-one basis.
- F2Represents Restricted Stock Units that have vested as the Common Stock set forth in Table I.
- F3Represents awards of Restricted Stock Units granted on December 15, 2017 pursuant to the Avaya Holdings Corp. 2017 Equity Incentive Plan, with 33.33% vesting on December 15, 2018 and 8.33% vesting on the last day of each quarter thereafter.