X0303 4 2009-04-27 1 0001056794 AVANEX CORP AVNX 0001237685 BARBAROSSA GIOVANNI C/O AVANEX CORPORATION 40919 ENCYCLOPEDIA CIRCLE FREMONT CA 94538 1 1 0 0 CEO and President Common Stock 2009-04-27 4 D 0 59126 D 0 D Employee Stock Option (right to buy) 420.00 2000-02-20 4 D 0 823 D 2010-02-10 Common Stock 823 0 D Non-Qualified Stock Option (right to buy) 420 2000-02-02 4 D 0 8344 D 2010-02-02 Common Stock 8344 0 D Non-Qualified Stock Option (right to buy) 234.38 2001-03-19 4 D 0 1066 D 2011-03-19 Common Stock 1066 0 D Non-Qualified Stock Option (right to buy) 197.85 2001-04-30 4 D 0 1066 D 2011-04-30 Common Stock 1066 0 D Employee Stock Option (right to buy) 111.75 2001-08-14 4 D 0 12438 D 2011-08-14 Common Stock 12438 0 D Non-Qualified Stock Option 111.75 2001-08-14 4 D 0 895 D 2011-08-14 Common Stock 895 0 D Non-Qualified Stock Option 36.75 2001-11-05 4 D 0 6667 D 2011-11-05 Common Stock 6667 0 D Non-Qualified Stock Option 73.50 2001-11-05 4 D 0 23333 D 2011-11-05 Common Stock 23333 0 D Disposed of pursuant to the merger agreement between issuer and Bookham, Inc. in exchange for 320,817 shares of Bookham common stock having a market value per share of $0.56 on the effective date of the merger. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 4,465 shares of Bookham common stock for $77.405 per share. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 45,274 shares of Bookham common stock for $77.405 per share. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 5,784 shares of Bookham common stock for $43.196 per share. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 5,784 shares of Bookham common stock for $36.463 per share. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 67,488 shares of Bookham common stock for $20.595 per share. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 4,856 shares of Bookham common stock for $20.595 per share. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 36,175 shares of Bookham common stock for $6.773 per share. This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 126,604 shares of Bookham common stock for $13.546 per share. Please note this Form 4 is the first of two filings reporting transactions that occurred on April 27, 2009. Richard C. Blake, Attorney-in-Fact for Giovanni Barbarossa 2009-04-28