1. Name and Address of Reporting Person
*
CERF VINT
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2. Issuer Name
and
Ticker or Trading Symbol
AVANEX CORP
[
AVNX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
40919 ENCYCLOPEDIA CIRCLE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/27/2009
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(Street)
FREMONT, CA 94538
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Explanation of Responses:
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(
1)
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The total number of shares being disposed has been adjusted to reflect the 15-for-1 reverse stock split that the Company effected following the close of market on August 12, 2008.
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(
2)
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Includes 666 vested shares from a Restricted Stock Unit granted on November 13, 2008 that was previously not reported on a Form 4.
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(
3)
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Disposed of pursuant to the merger agreement between issuer and Bookham, Inc. in exchange for 22,789 shares of Bookham common stock having a market value per share of $0.56 on the effective date of the merger.
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(
4)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 14,465 shares of Bookham common stock for $9.233 per share.
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(
5)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 3,613 shares of Bookham common stock for $320.16 per share.
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(
6)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 2,713 shares of Bookham common stock for $13.518 per share.
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(
7)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 3,613 shares of Bookham common stock for $12.578 per share.
|
(
8)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 3,613 shares of Bookham common stock for $2.046 per share.
|
(
9)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 1,806 shares of Bookham common stock for $2.792 per share.
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(
10)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 3,613 shares of Bookham common stock for $13.988 per share.
|
(
11)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 7,232 shares of Bookham common stock for $7.602 per share.
|
(
12)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 7,232 shares of Bookham common stock for $2.073 per share.
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(
13)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 7,232 shares of Bookham common stock for $4.202 per share.
|
(
14)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 7,232 shares of Bookham common stock for $4.34 per share.
|
(
15)
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This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 7,232 shares of Bookham common stock for $0.297 per share.
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(
16)
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Non-Qualified Stock Option granted on November 13, 2008 was previously not reported on a Form 4.
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