-----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, SPz53HOgKQ5+u6osnyjxnIz5NIbW3GvMIAa2lTYJZmiQiGtUnRDCQzFFCuAAtoaT u9nITaH4Yd/oqj1hMZRKqw== 0001181431-08-049203.txt : 20080819 0001181431-08-049203.hdr.sgml : 20080819 20080819200905 ACCESSION NUMBER: 0001181431-08-049203 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080815 FILED AS OF DATE: 20080819 DATE AS OF CHANGE: 20080819 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PARKER SCOTT CENTRAL INDEX KEY: 0001419484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29175 FILM NUMBER: 081028823 BUSINESS ADDRESS: BUSINESS PHONE: 510-897-4188 MAIL ADDRESS: STREET 1: C/O AVANEX CORPORATION STREET 2: 40919 ENCYCLOPEDIA CIRCLE CITY: FREMONT STATE: CA ZIP: 94538 4 1 rrd216484.xml STATEMENT OF CHANGE IN BENEFICIAL OWNERSHIP ON FORM 4 X0303 4 2008-08-15 0 0001056794 AVANEX CORP AVNX 0001419484 PARKER SCOTT C/O AVANEX CORPORATION 40919 ENCYCLOPEDIA CIRCLE FREMONT CA 94538 0 1 0 0 Senior Vice President of Sales Common Stock 2008-08-15 4 A 0 26 11.50 A 7450 D Includes 26 shares acquired under the Company's Officer and Director Share Purchase Plan on August 15, 2008. Includes 7,333 unvested Restricted Stock Units granted on December 21, 2007 that will vest according to the following schedule: 25% of the Restricted Stock Units awarded shall vest on each anniversary of November 27, 2007, such that 100% of the Restricted Stock Units will be fully vested on November 27, 2011, subject to the Reporting Person continuing to be a Service Provider through such date. This grant was previously reported as covering 110,000 unvested Restricted Stock Units and 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. The total number of shares reported as beneficially owned 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. Richard C. Blake, Attorney-in-fact for Scott Parker 2008-08-19 -----END PRIVACY-ENHANCED MESSAGE-----