UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
November 10, 2003
Date of Report (date of earliest event reported)
Avanex Corporation
| Delaware | 000-29175 | 94-3285348 | ||
| (State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S. Employer Identification Number) |
40919 Encyclopedia Circle
Fremont, California 94538
(510) 897-4188
(Former name or former address, if changed since last report)
| Item 5. Other Events | ||||||||
| Item 7. Financial Statements and Exhibits | ||||||||
| SIGNATURES | ||||||||
| EXHIBIT INDEX | ||||||||
| EXHIBIT 99.1 | ||||||||
| EXHIBIT 99.2 | ||||||||
| EXHIBIT 99.3 | ||||||||
Item 5. Other Events
On November 10, 2003, Avanex Corporation entered into the securities purchase agreement attached hereto as Exhibit 99.1. Pursuant to the securities purchase agreement, the purchasers named therein will purchase, in the aggregate, 6,815,555 shares of common stock of Avanex Corporation, par value $0.001 per share, at a price of $4.63 per share. In addition, the purchasers will be issued rights in the form attached hereto as Exhibit 99.2 which will be exercisable for up to an additional 1,363,116 shares of common stock of Avanex at a price of $4.63 per share. On November 11, 2003, Avanex Corporation issued the press release attached hereto as Exhibit 99.3 regarding the transaction described in this report.
The foregoing description of the transaction is only a summary and is qualified in its entirety by reference to the aforementioned transaction documents.
Item 7. Financial Statements and Exhibits
| (c) | Exhibits |
| Exhibit No. | Description | |
| 99.1 | Securities Purchase Agreement, dated as of November 10, 2003, between Avanex Corporation and the purchasers named therein. | |
| 99.2 | Form of Additional Investment Right. | |
| 99.3 | Press Release, dated as of November 11, 2003. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
| AVANEX CORPORATION | ||||
| By: | /s/ ANTHONY A. FLORENCE | |||
| Anthony A. Florence | ||||
| Vice President, Corporate Affairs | ||||
Date: November 12, 2003
EXHIBIT INDEX
| Exhibit No. | Description | |
| 99.1 | Securities Purchase Agreement, dated as of November 10, 2003, between Avanex Corporation and the purchasers named therein. | |
| 99.2 | Form of Additional Investment Right. | |
| 99.3 | Press Release, dated as of November 11, 2003. |
