SEC Form 3: New insider Crowley Anna-Marie claimed ownership of 1,352 shares and claimed ownership of 12,105 units of Common Stock - Restricted Stock Units
$AVYA
Retail: Computer Software & Peripheral Equipment
Technology
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 11/09/2022 |
3. Issuer Name and Ticker or Trading Symbol
Avaya Holdings Corp. [ AVYA ] |
|||||||||||||
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock, par value $0.01 per share | 1,352(1) | D | |
| Common Stock - Restricted Stock Units(2) | 12,105(3) | D | |
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. Represents the number of shares of common stock, par value $0.01 per share, of Avaya Holdings Corp. ("Common Stock"), which vested pursuant to a Restricted Stock Unit (each, an "RSU") award and shares purchased pursuant to the Avaya Holdings Corp. 2020 Employee Stock Purchase Plan ("ESPP"). This amount does not include any fractional shares acquired through the ESPP. |
| 2. Each RSU represents a contingent right to receive, at vesting, one share of Common Stock. These RSUs were granted on December 3, 2020, November 30, 2021, and March 1, 2022 pursuant to the 2019 Avaya Holdings Corp. Equity Incentive Plan. |
| 3. These securities consist of (i) 552 shares of Common Stock that vested pursuant to certain RSU awards on August 15, 2022 and November 15, 2022, which have not, as of yet, been distributed due to Avaya's delay in filing its Form 10-Q for the fiscal quarter ended June 30, 2022, and (ii) 11,553 RSUs which have not, as of yet, vested in accordance with their terms. |
| Remarks: |
| Exhibit 24- Power of Attorney |
| /s/ Danielle Bagatta, as attorney in fact for Anna-Marie Crowley | 11/17/2022 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||