| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/11/2021 | 3. Issuer Name and Ticker or Trading Symbol AVIAT NETWORKS, INC. [ AVNW ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 02/19/2021 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 15,389(1)(2)(3) | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Non-Qualified Stock Option (right to buy) | (4) | 02/02/2022 | Common Stock | 404 | 15.6 | D | |
| Non-Qualified Stock Option (right to buy) | (5) | 09/07/2025 | Common Stock | 8,632 | 17.8 | D | |
| Non-Qualified Stock Option (right to buy) | (6) | 09/20/2026 | Common Stock | 8,355 | 14.45 | D | |
| Non-Qualified Stock Option (right to buy) | (5) | 09/01/2027 | Common Stock | 9,777 | 22 | D | |
| Explanation of Responses: |
| 1. Represents unvested restricted stock units that vest 3 years from the original date granted, of which 3,426 shares were granted on September 20, 2019 and 3,190 shares were granted on September 1, 2020. |
| 2. Represents unvested performance restricted stock units that vest 3 years from the original date granted upon meeting performance metrics, of which 2,157 shares were granted on September 7, 2018, 3,426 shares were granted on September 20, 2019, and 3,190 shares were granted on September 1, 2020. |
| 3. The performance stock units were unintentionally omitted from the original form 3, and are pre-split numbers similar to the original form. |
| 4. Stock Option Grant, 25% of the shares subject to the award shall vest 1 year from the grant date, and then monthly for 3 years until fully vested, contingent upon continued employment. |
| 5. This represents a Stock Option grant that vest annually over three years from date of grant. |
| 6. Stock Option Grant, 100% of the shares subject to the award shall vest three years from the grant date, contingent upon continued employment. |
| Remarks: |
| /s/ Chris Wong, Director, Accounting and SEC reporting, on behalf of Bryan C. Tucker. | 09/03/2021 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
