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ARCH ENTREPRENEURS FUND LP 4

Accession 0000899243-15-008449

CIK 0001122051other
View on SEC.govCompany Profile

Filed

Nov 17, 7:00 PM ET

Accepted

Nov 18, 7:55 PM ET

Size

37.2 KB

Accession

0000899243-15-008449

Insider Transaction Report

Form 4
Period: 2015-11-17
XTERA COMMUNICATIONS, INC.XCOM
ARCH VENTURE PARTNERS VI LP
10% Owner
Transactions
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
ARCH VENTURE PARTNERS LLC
10% Owner
Transactions
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
ARCH VENTURE PARTNERS IV LLC
10% Owner
Transactions
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
ARCH VENTURE PARTNERS VI LLC
10% Owner
Transactions
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
ARCH VENTURE FUND III L P
10% Owner
Transactions
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
ARCH VENTURE FUND IV L P
10% Owner
Transactions
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
ARCH VENTURE FUND IVA LP
10% Owner
Transactions
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
ARCH ENTREPRENEURS FUND LP
10% Owner
Transactions
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
CRANDELL KEITH
10% Owner
Transactions
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
ARCH VENTURE FUND VI LP
10% Owner
Transactions
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+300,000$1,500,000→ 1,885,090 total(indirect: By ARCH Venture Fund VI, L.P.)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−6,791,194→ 0 total(indirect: By ARCH entities)
    → Common Stock (261,202 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,245,733→ 0 total(indirect: By ARCH entities)
    → Common Stock (86,376 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−2,488,215→ 0 total(indirect: By ARCH entities)
    → Common Stock (95,704 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,564,745→ 1,885,090 total(indirect: By ARCH entities)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−5,779,878→ 0 total(indirect: By ARCH entities)
    → Common Stock (222,305 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−23,378,104→ 0 total(indirect: By ARCH Venture Fund VI, L.P.)
    → Common Stock (899,158 underlying)
Footnotes (10)
  • [F1]The Series A-3 Preferred Stock, Series B-3 Preferred Stock, Series C-3 Preferred Stock, Series D-3 Preferred Stock, and Series E-3 Preferred Stock converted into Common Stock on a 26-for-one basis and had no expiration date.
  • [F10](continued from Footnote 9) The managing directors of AVP VI LLC are Keith Crandell, Clinton W. Bybee and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF VI. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein.
  • [F2]Total gives effect to all transactions reported on this Form.
  • [F3]Amount in Column 5 consists of 1,283 shares held by ARCH Entrepreneurs Fund, L.P. ("AEF"), 60,477 shares held by ARCH Venture Fund III, L.P. ("AVF III"), 66,806 shares held by ARCH Venture Fund IV, L.P. ("AVF IV"), 36,121 shares held by ARCH Venture Fund IV A, L.P. ("AVF IVA"), and 1,720,403 shares held by ARCH Venture Fund VI, L.P. ("AVF VI LP").
  • [F4]Consists of 699 shares held by AEF, 25,504 shares held by AVF III, 36,943 shares held by AVF IV, 20,650 shares held by AVF IVA, and 177,406 shares held by AVF VI LP.
  • [F5]Consists of 255 shares held by AEF, 12,609 shares held by AVF III, 13,269 shares held by AVF IV, 7,126 shares held by AVF IVA, and 189,046 shares held by AVF VI LP.
  • [F6]Consists of 109 shares held by AEF, 4,324 shares held by AVF III, 5,696 shares held by AVF IV, 3,151 shares held by AVF IVA, and 73,096 shares held by AVF VI LP.
  • [F7]Consists of 179 shares held by AEF, 7,127 shares held by AVF III, 9,389 shares held by AVF IV, 5,194 shares held by AVF IVA, and 73,815 shares held by AVF VI LP.
  • [F8]The sole general partner of AVF III is ARCH Venture Partners, LLC ("AVP LLC"), which may be deemed to beneficially own the shares held by AVF III. AVP LLC disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of AVP LLC are Keith Crandell, Clinton W. Bybee (who is on the Board of Directors of the Issuer), Steven Lazarus and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF III. Messrs. Crandell, Bybee, Lazarus and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein. The sole general partner of AVF IV, AVF IVA and AEF is ARCH Venture Partners IV, LLC ("AVP IV LLC"), which may be deemed to beneficially own the shares held by AVF IV, AVF IVA and AEF. AVP IV LLC disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
  • [F9](continued from Footnote 8) The managing directors of AVP IV LLC are Keith Crandell, Clinton W. Bybee, Steven Lazarus and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF IV, AVF IVA, and AEF. Messrs. Crandell, Bybee, Lazarus and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein. The sole general partner of AVF VI is ARCH Venture Partners VI, L.P. ("AVP VI LP"), which may be deemed to beneficially own the shares held by AVF VI. The sole general partner of AVP VI LP is ARCH Venture Partners VI, LLC ("AVP VI LLC"), which may be deemed to beneficially own the shares held by AVF VI. AVP VI LP and AVP VI LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Documents

1 file

Issuer

XTERA COMMUNICATIONS, INC.

CIK 0001122051

→
Entity typeother

Related Parties

1
  • filerCIK 0001098675

Filing Metadata

Form type
4
Filed
Nov 17, 7:00 PM ET
Accepted
Nov 18, 7:55 PM ET
Size
37.2 KB
View on SEC.gov