X0303 4 2008-08-18 0 0001056794 AVANEX CORP AVNX 0001237685 BARBAROSSA GIOVANNI C/O AVANEX CORPORATION 40919 ENCYCLOPEDIA CIRCLE FREMONT CA 94538 0 1 0 0 Interim Chief Executive Office Common Stock 2008-08-18 4 A 0 42000 0.001 A 49265 D Includes 42,000 unvested Restricted Stock Units granted on August 18, 2008 that will vest according to the following schedule: 50% of the Restricted Stock Units awarded shall vest on each anniversary of August 18, 2008, such that 100% of the Restricted Stock Units will be fully vested on August 18, 2010, subject to the Reporting Person continuing to be a Service Provider through such date. Includes 952 unvested Restricted Stock Units granted on December 20, 2005 that are vesting according to the following schedule: approximately 56 of the Restricted Stock Units shall vest each month hereafter, such that 100% of the Restricted Stock Units will be fully vested on December 20, 2009, subject to the Reporting Person continuing to be a Service Provider through such date. This grant was previously reported as covering 14,167 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. Includes 546 unvested Restricted Stock Units granted on October 9, 2006 that are vesting according to the following schedule: approximately 21 of the Restricted Stock Units shall vest each month hereafter, such that 100% of the Restricted Stock Units will be fully vested on October 9, 2010, subject to the Reporting Person continuing to be a Service Provider through such date. This grant was previously reported as covering 8,438 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. Includes 450 unvested Restricted Stock Units granted on March 21, 2007 that are vesting according to the following schedule: approximately 15 of the Restricted Stock Units awarded shall vest each month hereafter, such that 100% of the Restricted Stock Units will be fully vested on February 15, 2011, subject to the Reporting Person continuing to be a Service Provider through such date. This grant was previously reported as covering 6,920 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. Includes 2,000 unvested Restricted Stock Units granted on October 21, 2007 that will vest according to the following schedule: 25% of the Restricted Stock Units awarded shall vest on each anniversary of October 21, 2007, such that 100% of the Restricted Stock Units will be fully vested on October 21, 2011, subject to the Reporting Person continuing to be a Service Provider through such date. This grant was previously reported as covering 30,000 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 Giovanni Barbarossa 2008-08-20