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ALTA EMBARCADERO PARTNERS III LLC 4

Accession 0001209191-05-021564

CIK 0001108185other
View on SEC.govCompany Profile

Filed

Apr 20, 8:00 PM ET

Accepted

Apr 21, 11:39 AM ET

Size

18.3 KB

Accession

0001209191-05-021564

Insider Transaction Report

Form 4
Period: 2005-04-20
OCCAM NETWORKS INC/DEOCCM
GRUENER GARRETT
10% Owner
Transactions
  • Exercise of In-Money

    Series A-2 Preferred Stock Warrants (right to buy)

    2005-04-20−226,800→ 75,163,635 total
    From: 2004-03-08Exp: 2005-09-02→ Common Stock (20,618,181 underlying)
  • Exercise of In-Money

    Series A-2 Preferred Stock

    2005-04-20+226,800→ 75,163,635 total
    → Common Stock (20,618,181 underlying)
ALTA EMBARCADERO PARTNERS III LLC
10% Owner
Transactions
  • Exercise of In-Money

    Series A-2 Preferred Stock

    2005-04-20+226,800→ 75,163,635 total
    → Common Stock (20,618,181 underlying)
  • Exercise of In-Money

    Series A-2 Preferred Stock Warrants (right to buy)

    2005-04-20−226,800→ 75,163,635 total
    From: 2004-03-08Exp: 2005-09-02→ Common Stock (20,618,181 underlying)
ALTA PARTNERS II INC
10% Owner
Transactions
  • Exercise of In-Money

    Series A-2 Preferred Stock

    2005-04-20+226,800→ 75,163,635 total
    → Common Stock (20,618,181 underlying)
  • Exercise of In-Money

    Series A-2 Preferred Stock Warrants (right to buy)

    2005-04-20−226,800→ 75,163,635 total
    From: 2004-03-08Exp: 2005-09-02→ Common Stock (20,618,181 underlying)
ALTA CALIFORNIA PARTNERS III LP
10% Owner
Transactions
  • Exercise of In-Money

    Series A-2 Preferred Stock Warrants (right to buy)

    2005-04-20−226,800→ 75,163,635 total
    From: 2004-03-08Exp: 2005-09-02→ Common Stock (20,618,181 underlying)
  • Exercise of In-Money

    Series A-2 Preferred Stock

    2005-04-20+226,800→ 75,163,635 total
    → Common Stock (20,618,181 underlying)
JANNEY DANIEL
10% Owner
Transactions
  • Exercise of In-Money

    Series A-2 Preferred Stock Warrants (right to buy)

    2005-04-20−226,800→ 75,163,635 total
    From: 2004-03-08Exp: 2005-09-02→ Common Stock (20,618,181 underlying)
  • Exercise of In-Money

    Series A-2 Preferred Stock

    2005-04-20+226,800→ 75,163,635 total
    → Common Stock (20,618,181 underlying)
ALTA CALIFORNIA MANAGEMENT PARTNERS III LLC
10% Owner
Transactions
  • Exercise of In-Money

    Series A-2 Preferred Stock

    2005-04-20+226,800→ 75,163,635 total
    → Common Stock (20,618,181 underlying)
  • Exercise of In-Money

    Series A-2 Preferred Stock Warrants (right to buy)

    2005-04-20−226,800→ 75,163,635 total
    From: 2004-03-08Exp: 2005-09-02→ Common Stock (20,618,181 underlying)
NOHRA GUY P
10% Owner
Transactions
  • Exercise of In-Money

    Series A-2 Preferred Stock

    2005-04-20+226,800→ 75,163,635 total
    → Common Stock (20,618,181 underlying)
  • Exercise of In-Money

    Series A-2 Preferred Stock Warrants (right to buy)

    2005-04-20−226,800→ 75,163,635 total
    From: 2004-03-08Exp: 2005-09-02→ Common Stock (20,618,181 underlying)
Footnotes (4)
  • [F1]Alta California Partners III, L.P. exercised a Warrant for 219,392 shares of Series A-2 Preferred Stock and Alta Embarcadero Partners III, LLC exercised a Warrant for 7,408 shares of Series A-2 Preferred Stock. The exercise price of the Warrants for Series A-2 Preferred Stock is $10.00 per share. The Series A-2 Preferred Stock is convertible into Common Stock on a 1:90.90909 basis.
  • [F2]Alta Partners II, Inc. ("APII") provides investment advisory services to several venture capital funds including Alta California Partners III, L.P.("ACPIII") & Alta Embarcadero Partners III, LLC ("AEPIII"). The managing directors ("md") of Alta California Management Partners III, LLC ("ACMPIII")(which is the general partner ("gp") of ACPIII) & the managers of AEPIII exercise sole voting & investment power with respect to the shares owned by such funds. Garrett Gruener, Guy Nohra & Daniel Janney (collectively known as the "principals") are md of ACMPIII (which is the gp of ACPIII) & mangers of AEPIII. As md & managers of such funds, they may be deemed to to share voting & investment powers over the shares held by such funds. Certain principals of APII are directors & members of ACMPIII, they disclaim beneficial ownership of all such shares held by the foregoing funds except to the extent of their proportionate pecuniary interests therein.
  • [F3]Immediately
  • [F4]N/A

Documents

1 file

Issuer

OCCAM NETWORKS INC/DE

CIK 0001108185

→
Entity typeother

Related Parties

1
  • filerCIK 0001163150

Filing Metadata

Form type
4
Filed
Apr 20, 8:00 PM ET
Accepted
Apr 21, 11:39 AM ET
Size
18.3 KB
View on SEC.gov