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AVYA Avaya Holdings Corporation

0.2753
0.00 (0.00%)
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Avaya Holdings Corporation NYSE:AVYA NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 0.2753 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

19/01/2021 9:35pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

SPRADLEY SUSAN LOUISE
2. Issuer Name and Ticker or Trading Symbol

Avaya Holdings Corp. [ AVYA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O AVAYA HOLDINGS CORP., 2605 MERIDIAN PARKWAY, SUITE 200
3. Date of Earliest Transaction (MM/DD/YYYY)

1/15/2021
(Street)

DURHAM, NC 27713
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.01 per share 1/15/2021  S(1)  12847 D$20.86 0 D  
Common Stock - Restricted Stock Units (2)        39570 (3)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Open market sale pursuant to a 10b5-1 trading plan adopted by the reporting person on December 15, 2020.
(2) Each Restricted Stock Unit (each, an "RSU") represents a contingent right to receive, at vesting, one share of common stock, par value $0.01 per share, of Avaya Holdings Corp. ("Common Stock"). These RSUs were previously reported on Table I on a Form 4 pursuant to the Avaya Holdings Corp. 2017 Equity Incentive Plan and the Avaya Holdings Corp. 2019 Equity Incentive Plan (each, an "EIP").
(3) These securities consist of (i) 4,040 shares of Common Stock, the distribution of which is deferred until the earliest to occur of (x) February 12, 2022, (y) the reporting person's separation of service from the registrant and (z) a "change in control" of the registrant, as defined in the applicable EIP; (ii) 16,846 shares of Common Stock, the distribution of which is deferred until the earliest to occur of (x) May 15, 2022, (y) the reporting person's separation of service from the registrant and (z) a "change in control" of the registrant, as defined in the applicable EIP; and (iii) 18,684 shares of Common Stock, the distribution of which is deferred until the earliest to occur of (x) March 4, 2023, (y) the reporting person's separation of service from the registrant and (z) a "change in control" of the registrant, as defined in the applicable EIP.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
SPRADLEY SUSAN LOUISE
C/O AVAYA HOLDINGS CORP.
2605 MERIDIAN PARKWAY, SUITE 200
DURHAM, NC 27713
X



Signatures
/s/ Danielle Bagatta, as attorney in fact for Susan L. Spradley1/19/2021
**Signature of Reporting PersonDate

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