-----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, D5JOtUfecClGh9Ch4kY3j8xcdSWmdCTcUeN4nIiZmOJwrHFMGXbxlsVxkPQddBTm F+VNGlFaqHuEha0J+3zafw== 0001172661-08-000206.txt : 20080215 0001172661-08-000206.hdr.sgml : 20080215 20080214174424 ACCESSION NUMBER: 0001172661-08-000206 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080215 DATE AS OF CHANGE: 20080214 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60829 FILM NUMBER: 08619700 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRIVIUM CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001260411 IRS NUMBER: 481257070 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 23RD FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 715-3140 MAIL ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 23RD FL CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 avnx021408a2.txt SCHEDULE 13G HOLDINGS REPORT AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Avanex Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 05348W109 (CUSIP Number) December 31, 2007 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [x] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 05348W109 1. Names of Reporting Person I.R.S. Identification Nos. of above person Trivium Capital Management, LLC 2. Check the Appropriate Box if a Member Of a Group [ ] (a) [ ] (b) 3. SEC Use Only 4. Citizenship or Place of Organization Delaware, United States 5. Sole Voting Power: 0 Number of Shares 6. Shared Voting Power: 26,480,200 Beneficially Owned by 7. Sole Dispositive Power: 0 Each Reporting Person With 8. Shared Dispositive Power: 27,431,900 9. Aggregate Amount Beneficially Owned by Each Reporting Person 27,431,900 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 12.02% 12. Type of Reporting Person IA CUSIP No. 05348W109 1. Names of Reporting Person I.R.S. Identification Nos. of above person Trivium Offshore Fund Ltd. 2. Check the Appropriate Box if a Member of a Group [ ] (a) [ ] (b) 3. SEC Use Only 4. Citizenship or Place of Organization Grand Cayman, British West Indies 5. Sole Voting Power: 0 Number of Shares 6. Shared Voting Power: 22,693,007 Beneficially Owned by 7. Sole Dispositive Power: 0 Each Reporting Person With 8. Shared Dispositive Power: 22,693,007 9. Aggregate Amount Beneficially Owned by Each Reporting Person 22,693,007 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 9.94% 12. Type of Reporting Person OO Item 1. (a) Issuer: Avanex Corporation 1. Address: 40919 Encyclopedia Circle Fremont, CA 94538 Item 2. (a) Name of Person Filing: Trivium Capital Management, LLC Trivium Offshore Fund Ltd. (b) Address of Principal Business Offices: Trivium Capital Management, LLC 600 Lexington Avenue, 23rd Floor New York, NY 10022 United States Trivium Offshore Fund Ltd. c/o Citco Fund Services (Bermuda) Limited Washington Mall West, 2nd Floor 7 Reid Street Hamilton HM11, Bermuda (c) Citizenship: Please refer to Item 4 on each cover sheet for each filing person (d) Title of Class of Securities Common stock, par value $.001 per share (e) CUSIP Number: 05348W109 Item 3. Trivium Capital Management, LLC is an investment advisor in accordance with Rule 13d-1(b)(1)(ii)(E); Item 4. Ownership Please see Items 5 - 9 and 11 for each cover sheet for each filing separately Item 5. Ownership of Five Percent or Less of a Class Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not Applicable Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 14, 2008 Trivium Capital Management, LLC By: /s/ Kelly Ireland -------------------------- Name: Kelly Ireland Title: Chief Financial Officer Trivium Offshore Fund Ltd. By: /s/ Kelly Ireland -------------------------- Name: Kelly Ireland Title: Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----