-----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, QzDuWMw1A7cPdxj+xQetBsii0QwtFloWPqkbhOfLiDeRwqAFVi4aTKBnuZLY2+RC hoYItl9C/lg6VTedCKGqjw== 0001181431-09-017933.txt : 20090331 0001181431-09-017933.hdr.sgml : 20090331 20090331201215 ACCESSION NUMBER: 0001181431-09-017933 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090331 DATE AS OF CHANGE: 20090331 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kolb Bradley CENTRAL INDEX KEY: 0001356798 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29175 FILM NUMBER: 09721084 MAIL ADDRESS: STREET 1: C/O AVANEX CORPORATION STREET 2: 40919 ENCYCLOPEDIA CIRCLE CITY: FREMONT STATE: CA ZIP: 94538 ISSUER: 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 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 4 1 rrd238681.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ON FORM 4 X0303 4 2009-03-31 0 0001056794 AVANEX CORP AVNX 0001356798 Kolb Bradley C/O AVANEX CORPORATION 40919 ENCYCLOPEDIA CIRCLE FREMONT CA 94538 0 1 0 0 Senior VP, Operations Common Stock 2009-03-31 4 S 0 173 1.75 D 38309 D Common Stock 2009-02-15 4 A 0 200 1.471 A 38509 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 7, 2007. Includes 1,327 unvested Restricted Stock Units granted on October 9, 2006 that are vesting according to the following schedule: approximately 69 of the Restricted Stock Units shall vest each month hereafter, such that 100% of the Restricted Units will be fully vested on October 9, 2010, subject to the Reporting Person continuing to be a Service Provider through such date. Includes 299 unvested Restricted Stock Units granted on March 21, 2007 that are vesting according to the following schedule: approximately 13 of the Restricted Stock Units awarded shall vest each month hereafter, such that 100% of the Restricted Stock Units will be fully vested on February 15, 2011, subject to the Reporting Person continuing to be a Service Provider through such date. Includes 2,750 unvested Restricted Stock Units granted on October 21, 2007 that are vesting according to the following schedule: approximately 916 of the Restricted Stock Units awarded shall vest on each anniversary of October 21, 2007, such that 100% of the Restricted Stock Units will be fully vested on October 21, 2011, subject to the Reporting Person continuing to be a Service Provider through such date. Includes 28,000 unvested Restricted Stock Units granted on August 18, 2008 that will vest according to the following schedule: 50% of the Restricted Stock Units awarded shall vest on each anniversary of August 18, 2008, such that 100% of the Restricted Stock Units will be fully vested on August 18, 2010, subject to the Reporting Person continuing to be a Service Provider through such date. Shares acquired under the Company's employee stock purchase plan. Richard C. Blake, Attorney-in-Fact for Bradley Kolb 2009-03-31 -----END PRIVACY-ENHANCED MESSAGE-----