0000899243-22-039113.txt : 20221220
0000899243-22-039113.hdr.sgml : 20221220
20221220161513
ACCESSION NUMBER: 0000899243-22-039113
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221216
FILED AS OF DATE: 20221220
DATE AS OF CHANGE: 20221220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: King Theodore Walker Cheng-De
CENTRAL INDEX KEY: 0001773585
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38289
FILM NUMBER: 221474965
MAIL ADDRESS:
STREET 1: UNIT 1502, 15TH FLOOR
STREET 2: 99 HENNESSY ROAD
CITY: WANCHAI
STATE: K3
ZIP: 999077
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Avaya Holdings Corp.
CENTRAL INDEX KEY: 0001418100
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 261119726
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: co Avaya Inc
STREET 2: 2605 MERIDIAN PARKWAY, SUITE 200
CITY: DURHAM
STATE: NC
ZIP: 27713
BUSINESS PHONE: (908) 953-6000
MAIL ADDRESS:
STREET 1: co Avaya Inc
STREET 2: 2605 MERIDIAN PARKWAY, SUITE 200
CITY: DURHAM
STATE: NC
ZIP: 27713
FORMER COMPANY:
FORMER CONFORMED NAME: Sierra Holdings Corp
DATE OF NAME CHANGE: 20071109
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-12-16
1
0001418100
Avaya Holdings Corp.
AVYA
0001773585
King Theodore Walker Cheng-De
UNIT 1502, 15TH FLOOR, 99 HENNESSY ROAD
WANCHAI, HONG KONG
K3
999077
HONG KONG
0
0
1
0
Common Stock
2022-12-16
4
S
0
2356888
0.1969
D
10874462
D
Common Stock
2022-12-16
4
S
0
2406030
0.1805
D
8468432
D
2.25% Convertible Senior Notes due 2023
27.76
2023-06-15
Common Stock
18012
500000
D
2.25% Convertible Senior Notes due 2023
27.76
2023-06-15
Common Stock
22262
618000
D
2.25% Convertible Senior Notes due 2023
27.76
2023-06-15
Common Stock
36023
1000000
D
2.25% Convertible Senior Notes due 2023
27.76
2023-06-15
Common Stock
36023
1000000
D
Put Option (obligation to buy)
1.50
2023-03-17
Common Stock
5000000
50000
D
The price reported in Column 4 is a weighted average price. These shares were sold in transactions at prices ranging from $0.1800 to $0.2804. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in transactions at prices ranging from $0.1700 to $0.1913. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Holders may convert the Convertible Senior Notes at the holders' option on or after March 15, 2023. In addition, holders may convert the Convertible Senior Notes, at the holders' option, prior to March 15, 2023 only under the following circumstances: (a) during any calendar quarter, if the last reported sale price of the Issuer's common stock for at least 20 trading days (whether or not consecutive) during a period of 30 consecutive trading days ending on, and including, the last trading day of the immediately preceding calendar quarter is greater than or equal to 130% of the conversion price on each applicable trading day;
(Continued from Footnote 3) (b) during the five business day period after any five consecutive trading day period (the "Measurement Period") in which the trading price per $1,000 principal amount of the Convertible Senior Notes for each trading day of the Measurement Period was less than 98% of the product of the last reported sales price of the Issuer's common stock and the conversion rate on each such trading day; or (c) upon the occurrence of certain specified corporate events.
These are put option contracts written by the Reporting Person which provide that the Reporting Person will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. Exchange-traded options are immediately exercisable and remain exercisable until expiration.
/s/ Theodore Walker Cheng-De King
2022-12-20