- Statement of Changes in Beneficial Ownership (4)
April 27 2009 - 7:52PM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kolb Bradley
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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)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Senior VP, Operations
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(Last)
(First)
(Middle)
C/O AVANEX CORPORATION, 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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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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4/27/2009
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D
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21132
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D
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(1)
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0
(2)
(3)
(4)
(5)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$43.20
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3/23/2006
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D
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26666
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(6)
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3/23/2016
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Common Stock
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26666
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(6)
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0
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D
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Employee Stock Option (right to buy)
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$24.60
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10/31/2006
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D
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6666
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(7)
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10/31/2016
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Common Stock
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6666
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(7)
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0
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D
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Employee Stock Option (right to buy)
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$24.60
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10/21/2007
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D
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10333
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(8)
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10/21/2017
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Common Stock
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10333
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(8)
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0
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D
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Employee Stock Option (right to buy)
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$0.79
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11/21/2008
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D
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35000
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(9)
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11/21/2018
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Common Stock
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35000
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(9)
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0
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D
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Explanation of Responses:
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(
1)
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Disposed of pursuant to the merger agreement between issuer and Bookham, Inc. in exchange for 114,662 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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(
2)
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Includes 1,258 unvested Restricted Stock Units granted on October 9, 2006 that were assumed by Bookham, Inc. and now represent 6,825 unvested Restricted Stock Units of Bookham and will continue to vest pursuant to their original vesting schedule.
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(
3)
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Includes 286 unvested Restricted Stock Units granted on March 21, 2007 that were assumed by Bookham, Inc. and now represent 1,551 unvested Restricted Stock Units of Bookham and will continue to vest pursuant to their original vesting schedule.
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(
4)
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Includes 1,833 unvested Restricted Stock Units granted on October 21, 2007 that were assumed by Bookham, Inc. and now represent 9,945 unvested Restricted Stock Units of Bookham and will continue to vest pursuant to their original vesting schedule.
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(
5)
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Includes 14,000 unvested Restricted Stock Units granted on August 18, 2008 that were assumed by Bookham, Inc. and now represent 75,964 unvested Restricted Stock Units of Bookham and will continue to vest pursuant to their original vesting schedule.
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(
6)
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This option, of which 20,555 shares have vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 144,689 shares of Bookham common stock for $7.962 per share and will continue to vest pursuant to its original vesting schedule.
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(
7)
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This option, of which 4,166 shares have vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 36,169 shares of Bookham common stock for $4.534 per share and will continue to vest pursuant to its original vesting schedule.
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(
8)
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This option, of which 5,166 shares have vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 56,066 shares of Bookham common stock for $4.534 per share and will continue to vest pursuant to its original vesting schedule.
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(
9)
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This option, of which 17,500 shares have vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 189,910 shares of Bookham common stock for $0.146 per share and will continue to vest pursuant to its original vesting schedule.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kolb Bradley
C/O AVANEX CORPORATION
40919 ENCYCLOPEDIA CIRCLE
FREMONT, CA 94538
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Senior VP, Operations
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Signatures
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Richard C. Blake, Attorney-in-Fact for Bradley Kolb
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4/27/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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