0000899243-22-037419.txt : 20221202 0000899243-22-037419.hdr.sgml : 20221202 20221202161554 ACCESSION NUMBER: 0000899243-22-037419 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221130 FILED AS OF DATE: 20221202 DATE AS OF CHANGE: 20221202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: King Theodore Walker Cheng-De CENTRAL INDEX KEY: 0001773585 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38289 FILM NUMBER: 221442139 MAIL ADDRESS: STREET 1: UNIT 1502, 15TH FLOOR STREET 2: 99 HENNESSY ROAD CITY: WANCHAI STATE: K3 ZIP: 999077 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avaya Holdings Corp. CENTRAL INDEX KEY: 0001418100 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 261119726 FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: co Avaya Inc STREET 2: 2605 MERIDIAN PARKWAY, SUITE 200 CITY: DURHAM STATE: NC ZIP: 27713 BUSINESS PHONE: (908) 953-6000 MAIL ADDRESS: STREET 1: co Avaya Inc STREET 2: 2605 MERIDIAN PARKWAY, SUITE 200 CITY: DURHAM STATE: NC ZIP: 27713 FORMER COMPANY: FORMER CONFORMED NAME: Sierra Holdings Corp DATE OF NAME CHANGE: 20071109 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-11-30 0 0001418100 Avaya Holdings Corp. AVYA 0001773585 King Theodore Walker Cheng-De UNIT 1502, 15TH FLOOR, 99 HENNESSY ROAD WANCHAI, HONG KONG K3 999077 HONG KONG 0 0 1 0 Common Stock 13231350 D 2.25% Convertible Senior Notes due 2023 27.76 2022-11-30 4 P 0 1000000 248237.50 A 2023-06-15 Common Stock 36023 1000000 D 2.25% Convertible Senior Notes due 2023 27.76 2022-11-30 4 P 0 1000000 248244.00 A 2023-06-15 Common Stock 36023 1000000 D Put Option (obligation to buy) 1.50 2023-03-17 Common Stock 5000000 50000 D On or after March 15, 2023, and until the close of business on the second scheduled trading day immediately preceding the maturity date, holders may convert the Convertible Senior Notes at the holders' option. Holders may convert the Convertible Senior Notes, at the holders' option, prior to March 15, 2023 only under the following circumstances: (a) during any calendar quarter, if the last reported sale price of the Company's common stock for at least 20 trading days (whether or not consecutive) during a period of 30 consecutive trading days ending on, and including, the last trading day of the immediately preceding calendar quarter is greater than or equal to 130% of the conversion price on each applicable trading day; (Continued footnote 1) (b) during the five business day period after any five consecutive trading day period (the "Measurement Period") in which the trading price per $1,000 principal amount of the Convertible Senior Notes for each trading day of the Measurement Period was less than 98% of the product of the last reported sales price of the Company's common stock and the conversion rate on each such trading day; or (c) upon the occurrence of specified corporate events. These are put option contracts written by the Reporting Person which provide that the Reporting Person will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. Exchange-traded options are immediately exercisable and remain exercisable until expiration. /s/ Theodore Walker Cheng-De King 2022-12-02