-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SPUA0ZYxK1QfIiK1mEF9VHwwJlQKvb7QqTA2GszlNCW0w+npqF0FN1I1y3ib6kQh yFS70byKFe+UloABwWGYZQ== 0000909518-07-000907.txt : 20071108 0000909518-07-000907.hdr.sgml : 20071108 20071108152150 ACCESSION NUMBER: 0000909518-07-000907 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20071108 DATE AS OF CHANGE: 20071108 GROUP MEMBERS: PIRELLI FINANCE (LUXEMBOURG) SA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVANEX CORP CENTRAL INDEX KEY: 0001056794 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943285348 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-60829 FILM NUMBER: 071225460 BUSINESS ADDRESS: STREET 1: 40919 ENCYCLOPEDIA CIRCLE CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5108974172 MAIL ADDRESS: STREET 1: 40919 ENCYCLOPEDIA CIRCLE CITY: FREMONT STATE: CA ZIP: 94538 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Pirelli & C. SPA CENTRAL INDEX KEY: 0001156964 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 212 833-3566 MAIL ADDRESS: STREET 1: VIALE SARCA 222 20126 CITY: MILAR ITALY STATE: L6 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: PIRELLI S P A DATE OF NAME CHANGE: 20010808 SC 13G 1 mm11-0807_13g.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 -------------- SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ____)* AVANEX CORPORATION ------------------------------------------------------------------------ (Name of Issuer) Common Stock, $.001 par value per share ------------------------------------------------------------------------ (Title of Class of Securities) 05348W109 ------------------------------------------------------------------------ (CUSIP Number) October 29, 2007 ------------------------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Pirelli & C. SpA - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Milan, Italy - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 28,295,868 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 28,295,868 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 28,295,868 - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 12.48% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 2 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Pirelli Finance (Luxembourg) SA - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Luxembourg, Luxembourg - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 28,295,868 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 28,295,868 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 28,295,868 - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 12.48% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 3 ITEM 1(A). NAME OF ISSUER: Avanex Corporation (the "Company") ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 40919 Encyclopedia Circle Fremont, CA 94538 ITEM 2(A). NAME OF PERSON FILING: (i) Pirelli & C. SpA ("Pirelli") ; and (ii) Pirelli Finance (Luxembourg) SA ("Pirelli Finance"). Pirelli Finance is a wholly-owned subsidiary of Pirelli. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the principal business office of Pirelli is Milan, Via Gaetano Negri, 10, Italy. The address of the principal business office of Pirelli Finance is 35 boulevard du Prince, L-1724 Luxembourg, Luxembourg. ITEM 2(C). CITIZENSHIP: Pirelli is a company organized under the laws of Italy. Pirelli Finance is a company organized under the laws of Luxembourg. ITEM 2(D). TITLE AND CLASS OF SECURITIES: Common stock, par value $.001 per share (the "Common Stock" or "Shares") ITEM 2(E). CUSIP NUMBER: 05348W109 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B) OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: (a) [_] Broker or dealer registered under Section 15 of the Act (b) [_] Bank as defined in Section 3(a)(6) of the Act (c) [_] Insurance company as defined in Section 3(a)(19) of the Act (d) [_] Investment company registered under Section 8 of the Investment Company Act of 1940 (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F) (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G) Page 4 (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J) ITEM 4. OWNERSHIP. (a) - (c) Each of Pirelli and Pirelli Finance may be deemed to beneficially own an aggregate of 28,295,868 Shares. Based on the 226,793,103 Shares reported by the Company to be outstanding as of August 22, 2007, each of Pirelli and Pirelli Finance may be deemed to beneficially own approximately 12.48% of the outstanding Common Stock. Pirelli and Pirelli Finance share the power to vote and dispose, or to direct the voting and disposition, of 28,295,868 Shares. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. The information contained in Item 2(a) above is incorporated herein by reference. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Pirelli and Pirelli Finance are members of a group with respect to the ownership of 28,295,868 Shares. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. (a) Not applicable. (b) By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 5 SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: November 8, 2007 PIRELLI & C. SPA By: /s/ Luciano Gobbi -------------------------------------- Name: Luciano Gobbi Title: Director and Attorney-in-fact PIRELLI FINANCE (LUXEMBOURG) SA By: /s/ Pierluigi Zanaboni -------------------------------------- Name: Pierluigi Zanaboni Title: Member of the Board Page 6 EXHIBIT INDEX Exhibit 1. Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. Page 7 EX-99 2 mm11-0807_13ge1.txt Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the common stock, par value $0.001 per share, of Avanex Corporation and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filing. In evidence thereof, the undersigned, hereby execute this Agreement this 8th day of November, 2007. Dated: November 8, 2007 PIRELLI & C. SPA By: /s/ Luciano Gobbi -------------------------------------- Name: Luciano Gobbi Title: Director and Attorney-in-fact PIRELLI FINANCE (LUXEMBOURG) SA By: /s/ Pierluigi Zanaboni -------------------------------------- Name: Pierluigi Zanaboni Title: Member of the Board -----END PRIVACY-ENHANCED MESSAGE-----