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TRIDENT CAPITAL FUND V LP 4

Accession 0001209191-09-021918

CIK 0000854398other
View on SEC.govCompany Profile

Filed

Apr 16, 8:00 PM ET

Accepted

Apr 17, 12:03 PM ET

Size

39.1 KB

Accession

0001209191-09-021918

Insider Transaction Report

Form 4
Period: 2009-04-15
XATA CORP /MN/XATA
TRIDENT CAPITAL FUND V AFFILIATES FUND Q LP
10% Owner
Transactions
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−907,942$2,015,631→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,277$11,715→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−26,279$58,339→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−68,980$153,136→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+907,942→ 907,942 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,036$11,180→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,277→ 5,277 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,036→ 5,036 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+26,279→ 26,279 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+68,980→ 68,980 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
TRIDENT CAPITAL FUND V PRINCIPALS FUND L P
10% Owner
Transactions
  • Other

    Series F Preferred Stock

    2009-04-15+907,942→ 907,942 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,036→ 5,036 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−68,980$153,136→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,277$11,715→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,277→ 5,277 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,036$11,180→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−26,279$58,339→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+68,980→ 68,980 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−907,942$2,015,631→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+26,279→ 26,279 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
TRIDENT CAPITAL PARALLEL FUND V CV
10% Owner
Transactions
  • Other

    Series F Preferred Stock

    2009-04-15+5,277→ 5,277 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,036→ 5,036 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+68,980→ 68,980 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,277$11,715→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,036$11,180→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−26,279$58,339→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−68,980$153,136→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+907,942→ 907,942 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+26,279→ 26,279 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−907,942$2,015,631→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
TRIDENT CAPITAL FUND V AFFILIATES FUND LP
10% Owner
Transactions
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−26,279$58,339→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+68,980→ 68,980 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+907,942→ 907,942 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,036→ 5,036 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,277→ 5,277 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+26,279→ 26,279 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−907,942$2,015,631→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,277$11,715→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,036$11,180→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−68,980$153,136→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
TRIDENT CAPITAL MANAGEMENT V LLC
10% Owner
Transactions
  • Other

    Series F Preferred Stock

    2009-04-15+5,036→ 5,036 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−907,942$2,015,631→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,277→ 5,277 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−26,279$58,339→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−68,980$153,136→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+68,980→ 68,980 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,277$11,715→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,036$11,180→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+907,942→ 907,942 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+26,279→ 26,279 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
TRIDENT CAPITAL FUND V LP
10% Owner
Transactions
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−907,942$2,015,631→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,036→ 5,036 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+5,277→ 5,277 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,036$11,180→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,036 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+26,279→ 26,279 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−5,277$11,715→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (5,277 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−26,279$58,339→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (26,279 underlying)
  • Other

    Series E Preferred Stock

    2009-04-15$2.22/sh−68,980$153,136→ 0 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+68,980→ 68,980 total(indirect: See footnote)
    → Common stock, $0.01 par value (68,980 underlying)
  • Other

    Series F Preferred Stock

    2009-04-15+907,942→ 907,942 total(indirect: See footnote)
    → Common stock, $0.01 par value (907,942 underlying)
Footnotes (10)
  • [F1]On February 12, 2009, in connection with the execution and closing of the Common Stock Warrant and Series E Preferred Stock Purchase Agreement, the Company and the purchasers also entered into an Exchange Agreement under which the Company was obligated to exchange all shares of the Series E Preferred Stock for an equal number of shares of Series F Preferred Stock, a new series of preferred stock of the Company (the "Series F Preferred Stock"). The Series F Preferred Stock is identical to the Series E Preferred Stock in all respects, except that its liquidation preference is senior to the Company's existing series of preferred stock, whereas the Series E Preferred Stock's liquidation preference is junior to the existing series of Preferred Stock.
  • [F10]These securities are owned by Trident Capital Parallel Fund-V, C.V.
  • [F2]Immediately exercisable.
  • [F3]Preferred stock has no expiration date.
  • [F4]These securities are owned by Trident Capital Fund-V, L.P.
  • [F5]Trident Capital Management-V, L.L.C. ("TCMV") serves as the general partner of each of Trident Capital Fund-V, L.P., Trident Capital Fund-V Affiliates Fund, L.P., Trident Capital Fund-V Affiliates Fund (Q), L.P. and Trident Capital Fund-V Principals Fund, L.P. and the sole investment general partner of Trident Capital Parallel Fund-V, C.V. and TCMV may be deemed to be the benefical owner of the shares held by each of the Trident entities, though TCMV disclaims benefical ownership of the reported securities except to the extent of its pecuniary interest therein.
  • [F6]The Series F Preferred stock is convertible into common stock of the Issuer at an initial conversion rate of one share of common stock for each share of Series F Preferred stock. The number of shares of common stock issuable upon conversion of the Series F Preferred stock is subject to adjustment based on changes in the conversion price, which is $2.22 initially, in the event of stock splits and similar events, and in the event of stock issuances below either the market price or the conversion price (other than certain customary exceptions). The number of shares issuable upon conversion of a share of Series F Preferred stock at any time will determined by dividing the original issue price of such share, $2.22, by the conversion price then in effect.
  • [F7]These securities are owned by Trident Capital Fund-V Affiliates Fund, L.P.
  • [F8]These securities are owned by Trident Capital Fund-V Affiliates Fund (Q), L.P.
  • [F9]These securities are owned by Trident Capital Fund-V Principals Fund, L.P.

Documents

1 file

Issuer

XATA CORP /MN/

CIK 0000854398

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001123623

Filing Metadata

Form type
4
Filed
Apr 16, 8:00 PM ET
Accepted
Apr 17, 12:03 PM ET
Size
39.1 KB
View on SEC.gov