PARKER DAVID ROBERT 4
4 · AVANEX CORP · Filed Sep 14, 2004
Insider Transaction Report
Form 4
AVANEX CORPAVNX
PARKER DAVID ROBERT
VP, Subsystem Solutions
Transactions
- Sale
Common Stock
2004-09-10$2.54/sh−5,232$13,290→ 0 total - Sale
Common Stock
2004-09-10$2.54/sh−35,938$91,290→ 0 total - Exercise/Conversion
Common Stock
2004-09-10$0.80/sh+28,125$22,500→ 28,125 total - Exercise/Conversion
Common Stock
2004-09-10$0.06/sh+35,938$2,156→ 35,938 total - Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2004-09-10−28,125→ 28,125 totalExercise: $0.80From: 2003-02-18Exp: 2013-02-18→ Common Stock (28,125 underlying) - Sale
Common Stock
2004-09-10$2.54/sh−28,125$71,443→ 0 total - Sale
Common Stock
2004-09-10$2.56/sh−18,562$47,430→ 0 total(indirect: By Trust) - Exercise/Conversion
Incentive Stock Option (right to buy)
2004-09-10−35,938→ 0 totalExercise: $0.06From: 2000-04-30Exp: 2009-04-30→ Common Stock (35,938 underlying)
Footnotes (3)
- [F1]Includes 2,391 shares acquired by the Reporting Person under Avanex Corporation's Employee Stock Purchase Plan in a transaction exempt from the reporting requirements of Section 16(a).
- [F2]25% of the shares subject to the option first vested and became exercisable on April 30, 2000, with 1/48 of the remaining shares vesting monthly thereafter, such that 100% of the shares subject to the option were fully vested and exercisable on April 30, 2003.
- [F3]6/48 of the shares subject to the option first vested and became exercisable on February 18, 2003, and 1/48 of the remaining shares vest monthly thereafter, provided however, that the Reporting Person continues to provide service to the Issuer through each respective vesting date.