4//SEC Filing
ABBOTT ROBERT B 4
Accession 0001176230-03-000002
CIK 0001108185other
Filed
Nov 20, 7:00 PM ET
Accepted
Nov 21, 12:09 PM ET
Size
16.2 KB
Accession
0001176230-03-000002
Insider Transaction Report
Form 4
OCCAM NETWORKS INC/DEoccm.ob
STILL GEORGE J JR
10% Owner
Transactions
- Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+285,801$2,858,010→ 285,801 totalExercise: $0.11→ Common Stock (285,801 underlying) - Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+14,199$141,990→ 14,199 total(indirect: By Partnership)Exercise: $0.11→ Common Stock (14,199 underlying)
Holdings
- 1,831,257(indirect: By Partnership)
Common Stock
- 36,872,779
Common Stock
NORWEST VENTURE PARTNERS VIII LP
10% Owner
Transactions
- Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+285,801$2,858,010→ 285,801 totalExercise: $0.11→ Common Stock (285,801 underlying) - Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+14,199$141,990→ 14,199 total(indirect: By Partnership)Exercise: $0.11→ Common Stock (14,199 underlying)
Holdings
- 36,872,779
Common Stock
- 1,831,257(indirect: By Partnership)
Common Stock
ITSACA VC PATNERS VIII LLP
10% Owner
Transactions
- Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+14,199$141,990→ 14,199 total(indirect: By Partnership)Exercise: $0.11→ Common Stock (14,199 underlying) - Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+285,801$2,858,010→ 285,801 totalExercise: $0.11→ Common Stock (285,801 underlying)
Holdings
- 36,872,779
Common Stock
- 1,831,257(indirect: By Partnership)
Common Stock
WHALEY JOHN P
10% Owner
Transactions
- Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+285,801$2,858,010→ 285,801 totalExercise: $0.11→ Common Stock (285,801 underlying) - Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+14,199$141,990→ 14,199 total(indirect: By Partnership)Exercise: $0.11→ Common Stock (14,199 underlying)
Holdings
- 1,831,257(indirect: By Partnership)
Common Stock
- 36,872,779
Common Stock
HAQUE PROMOD
10% Owner
Transactions
- Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+14,199$141,990→ 14,199 total(indirect: By Partnership)Exercise: $0.11→ Common Stock (14,199 underlying) - Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+285,801$2,858,010→ 285,801 totalExercise: $0.11→ Common Stock (285,801 underlying)
Holdings
- 36,872,779
Common Stock
- 1,831,257(indirect: By Partnership)
Common Stock
ABBOTT ROBERT B
Director
Transactions
- Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+285,801$2,858,010→ 285,801 totalExercise: $0.11→ Common Stock (285,801 underlying) - Purchase
Series A-2 Convertible Preferred
2003-11-19$10.00/sh+14,199$141,990→ 14,199 total(indirect: By Partnership)Exercise: $0.11→ Common Stock (14,199 underlying)
Holdings
- 36,872,779
Common Stock
- 1,831,257(indirect: By Partnership)
Common Stock
Footnotes (6)
- [F1]Norwest Venture Partners VIII, LP, a Minnesota limited partnership ("NVP VIII") is the record owner of the securities listed on Line 1 of Tables I and II. With respect to the reporting persons named in this Form 4, Itasca VC Partners VIII, LLP ("Itasca VC Partners VIII") is the general partner of NVP VIII, Promod Haque and George J. Still, Jr. are the managing general partners and John P. Whaley is the managing administrative partner. As a result, Itasca VC Partners VIII and Messrs. Haque, Still and Whaley may be deemed to beneficially own the securities held by NVP VIII. Each of Itasca VC Partners VIII and Messrs. Haque, Still and Whaley disclaims beneficial ownership of such securities, except to the extent of its or his indirect pecuniary interest therein.
- [F2]The securities listed on Line 2 of Tables I and II are held of record by Norwest Venture Partners Entrepreneurs Fund, VIII, LP, a Delaware limited partnership ("NVP-E VIII"), whose general partner is Itasca VC Partners VIII. Promod Haque and George J. Still, Jr. are the managing partners and John P. Whaley is the managing administrative partner of Itasca VC Partners VIII. As a result, Itasca VC Partners VIII and Messrs. Haque, Still and Whaley may be deemed to beneficially own the securities held by NVP-E VIII. Each of Messrs. Haque, Still and Whaley disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
- [F3]Robert B. Abbott is a director of Occam Networks, Inc. and a non-managing partner of Itasca VC Partners VIII, the general partner of NVP VIII, the record holder of the securities reported on Line 1 of Tables I and II. Mr. Abbott is also a non-managing partner of Itasca VC Partners VIII, the general partner of NVP-E VIII, the record holder of the securities reported on Line 2 of Tables I and II. Information with respect to the securities held by NVP VIII and NVP-E VIII are reported on Lines 1 and 2 of Tables I and II for the individual managing partners of each such entity who are named in this joint filing on Form 4. As a non-managing partner, Mr. Abbott has no voting or investment authority with respect to any securities held of record by NVP VIII and NVP-E VIII and thus is not deemed to beneficially own such securities, except to the extent of his indirect pecuniary interest therein.
- [F4]Subject to adjustment in accordance with the terms of the preferred stock identified in Table II upon the issuance of additional shares or rights to acquire additional shares of common stock of the Issuer without consideration for a per share consideration less than the per share conversion price shown above.
- [F5]Shares are exercisable at the holder's option after the date certain shareholder approval are obtained.
- [F6]Not applicable.
Documents
Issuer
OCCAM NETWORKS INC/DE
CIK 0001108185
Entity typeother
Related Parties
1- filerCIK 0001209787
Filing Metadata
- Form type
- 4
- Filed
- Nov 20, 7:00 PM ET
- Accepted
- Nov 21, 12:09 PM ET
- Size
- 16.2 KB