SMITH PAUL GRAHAM 4

4 · AVANEX CORP · Filed Apr 27, 2009

Form 4

Period: 2009-04-27

Director

Transactions

Disposition to Issuer
Non- Qualified Stock Option (right to buy)
2007-11-15−5,333→ 0 total
Exercise: $23.55Exp: 2017-11-15→ Common Stock (5,333 underlying)
Disposition to Issuer
Common Stock
2009-04-27−34,676→ 0 total
Disposition to Issuer
Non- Qualified Stock Option (right to buy)
2008-11-13−1,333→ 0 total
Exercise: $1.61Exp: 2018-11-13→ Common Stock (1,333 underlying)

Footnotes (6)

[F1]The total number of shares being disposed 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.
[F2]Includes 666 vested shares from a Restricted Stock Unit granted on November 13, 2008 that was previously not reported on a Form 4.
[F3]Disposed of pursuant to the merger agreement between issuer and Bookham, Inc. in exchange for 188,151 shares of Bookham common stock having a market value per share of $0.56 on the effective date of the merger.
[F4]This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 28,936 shares of Bookham common stock for $4.34 per share.
[F5]This option, which is 100% vested, was assumed by Bookham, Inc. in the merger and is now an option to purchase 7,232 shares of Bookham common stock for $0.297 per share.
[F6]Non-Qualified Stock Option granted on November 13, 2008 was previously not reported on a Form 4.

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