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XTERA COMMUNICATIONS, INC. 4

Accession 0001179110-15-015148

CIK 0001122051operating
View on SEC.govCompany Profile

Filed

Nov 17, 7:00 PM ET

Accepted

Nov 18, 9:12 PM ET

Size

28.3 KB

Accession

0001179110-15-015148

Insider Transaction Report

Form 4
Period: 2015-11-17
XTERA COMMUNICATIONS, INC.XCOM
PHIPPS CHARLES H
10% OwnerOther
Transactions
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−3,412,497→ 0 total(indirect: See Footnote)
    → Common Stock (131,251 underlying)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−14,188,641→ 0 total(indirect: See Footnote)
    → Common Stock (545,718 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−3,496,724→ 0 total(indirect: See Footnote)
    → Common Stock (134,491 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,010,984→ 1,010,984 total(indirect: See Footnote)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+200,000$1,000,000→ 1,210,984 total(indirect: See Footnote)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−28,898→ 0 total(indirect: See Footnote)
    Exercise: $1113.00→ Common Stock (1,113 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,430,880→ 0 total(indirect: See Footnote)
    → Common Stock (93,498 underlying)
JAGGERS JOHN V
10% OwnerOther
Transactions
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−14,188,641→ 0 total(indirect: See Footnote)
    → Common Stock (545,718 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,430,880→ 0 total(indirect: See Footnote)
    → Common Stock (93,498 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−3,496,724→ 0 total(indirect: See Footnote)
    → Common Stock (134,491 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,010,984→ 1,010,984 total(indirect: See Footnote)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+200,000$1,000,000→ 1,210,984 total(indirect: See Footnote)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−3,412,497→ 0 total(indirect: See Footnote)
    → Common Stock (131,251 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−28,898→ 0 total(indirect: See Footnote)
    Exercise: $1113.00→ Common Stock (1,113 underlying)
DOMENIK STEPHEN L
10% OwnerOther
Transactions
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−14,188,641→ 0 total(indirect: See Footnote)
    → Common Stock (545,718 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−3,412,497→ 0 total(indirect: See Footnote)
    → Common Stock (131,251 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−3,496,724→ 0 total(indirect: See Footnote)
    → Common Stock (134,491 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,010,984→ 1,010,984 total(indirect: See Footnote)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+200,000$1,000,000→ 1,210,984 total(indirect: See Footnote)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−28,898→ 0 total(indirect: See Footnote)
    Exercise: $1113.00→ Common Stock (1,113 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,430,880→ 0 total(indirect: See Footnote)
    → Common Stock (93,498 underlying)
KIMZEY JACKIE R
10% OwnerOther
Transactions
  • Conversion

    Common Stock

    2015-11-17+1,010,984→ 1,010,984 total(indirect: See Footnote)
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+200,000$1,000,000→ 1,210,984 total(indirect: See Footnote)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−28,898→ 0 total(indirect: See Footnote)
    Exercise: $1113.00→ Common Stock (1,113 underlying)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−14,188,641→ 0 total(indirect: See Footnote)
    → Common Stock (545,718 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−3,496,724→ 0 total(indirect: See Footnote)
    → Common Stock (134,491 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−3,412,497→ 0 total(indirect: See Footnote)
    → Common Stock (131,251 underlying)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,430,880→ 0 total(indirect: See Footnote)
    → Common Stock (93,498 underlying)
DOW STEPHEN M
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2015-11-17$5.00/sh+200,000$1,000,000→ 1,210,984 total(indirect: See Footnote)
  • Conversion

    Series C-3 Preferred Stock

    2015-11-17−2,430,880→ 0 total(indirect: See Footnote)
    → Common Stock (93,498 underlying)
  • Conversion

    Series E-3 Preferred Stock

    2015-11-17−3,412,497→ 0 total(indirect: See Footnote)
    → Common Stock (131,251 underlying)
  • Conversion

    Common Stock

    2015-11-17+1,010,984→ 1,010,984 total(indirect: See Footnote)
  • Conversion

    Series A-3 Preferred Stock

    2015-11-17−14,188,641→ 0 total(indirect: See Footnote)
    → Common Stock (545,718 underlying)
  • Conversion

    Series B-3 Preferred Stock

    2015-11-17−28,898→ 0 total(indirect: See Footnote)
    Exercise: $1113.00→ Common Stock (1,113 underlying)
  • Conversion

    Series D-3 Preferred Stock

    2015-11-17−3,496,724→ 0 total(indirect: See Footnote)
    → Common Stock (134,491 underlying)
Footnotes (9)
  • [F1]Each share of 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-1 basis immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date.
  • [F2]Total of 1,010,984 represents 973,384 shares owned directly by Sevin Rosen Fund VII L.P. ("SRFVII"), 37,403 shares owned directly by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF") and 197 shares owned directly by Sevin Rosen Bayless Management Company ("SRBMC"). Reporting Person is a general partner of SRB Associates VII L.P. ("SRBA VII), the general partner of SRFVII and SRVII AFF, and as a general partner is deemed to have shared voting and dispositive power of the shares directly owned by SRFVII and SRVII AFF, and disclaims beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Reporting person is a director of SRBMC and as such is deemed to have shared voting and dispositive power of the shares owned directly by SRBMC and disclaims beneficial ownership with no pecuniary interest in these shares.
  • [F3]Total of 1,210,984 represents 1,165,984 shares owned directly by SRFVII and 44,803 shares owned directly by SRVII AFF and 197 shares owned directly by SRBMC. SRBA VII is the general partner of SRFVII and SRVII AFF and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest.
  • [F4]Total of 545,718 represents 525,526 shares owned directly by SRFVII and 20,192 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest
  • [F5]Total of 1,113 represents 1,071 shares owned directly by SRFVII and 42 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.
  • [F6]Total of 93,498 represents 89,852 shares owned directly by SRFVII, 3,453 shares owned directly by SRVII AFF, and 193 shares owned directly by SRBMC. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over the shares owned directly by SRFVII and SRVII AFF. SRBAVII disclaims beneficial ownership of the shares owned directly by SRFVII and SRVII AFF except to the extent of its pecuniary interest.
  • [F7]Total of 134,491 represents 129,514 shares owned directly by SRFVII and 4,977 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.
  • [F8]Total of 131,251 represents 126,394 shares owned directly by SRFVII and 4,857 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.
  • [F9]John V. Jaggers ("Jaggers"), Stephen L. Domenik ("Domenik"), Stephen L. Dow ("Dow"), Jackie R. Kimzey ("Kimzey") and Charles H. Phipps ("Phipps") are general partners of SRBA VII, the general partner of SRFVII and SRVII AFF, and in that capacity have shared voting and dispositive power of the shares owned directly by SRFVII and SRVII AFF and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Jaggers, Domenik, Dow, Kimzey and Phipps are directors of SRBMC and are deemed to have shared voting and dispositive power of the shares owned directly by SRBMC and disclaim beneficial ownership with no pecuniary interest in these shares.

Documents

1 file

Issuer

XTERA COMMUNICATIONS, INC.

CIK 0001122051

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001122051

Filing Metadata

Form type
4
Filed
Nov 17, 7:00 PM ET
Accepted
Nov 18, 9:12 PM ET
Size
28.3 KB
View on SEC.gov