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TRIDENT CAPITAL FUND V LP 4

Accession 0001209191-09-056110

CIK 0000854398other

View on SEC.gov Company Profile

Filed

Dec 8, 7:00 PM ET

Accepted

Dec 9, 12:23 PM ET

Size

38.5 KB

Accession

0001209191-09-056110

Insider Transaction Report

Form 4

Period: 2009-12-04

XATA CORP /MN/XATA

TRIDENT CAPITAL FUND V AFFILIATES FUND Q LP

10% Owner

Transactions

Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,302→ 1,302 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,302 underlying)
Purchase
Series G preferred stock
2009-12-04+4,140→ 4,140 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,140 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,242→ 1,242 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,242 underlying)
Purchase
Series G preferred stock
2009-12-04+4,339→ 4,339 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,339 underlying)
Purchase
Series G preferred stock
2009-12-04+21,607→ 21,607 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (21,607 underlying)
Purchase
Series G preferred stock
2009-12-04+746,530→ 746,530 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (746,530 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+6,482→ 6,482 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (6,482 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+17,015→ 17,015 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (17,015 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+223,959→ 223,959 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (223,959 underlying)
Purchase
Series G preferred stock
2009-12-04+56,717→ 56,717 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (56,717 underlying)

TRIDENT CAPITAL FUND V AFFILIATES FUND LP

10% Owner

Transactions

Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+223,959→ 223,959 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (223,959 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,302→ 1,302 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,302 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,242→ 1,242 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,242 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+6,482→ 6,482 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (6,482 underlying)
Purchase
Series G preferred stock
2009-12-04+56,717→ 56,717 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (56,717 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+17,015→ 17,015 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (17,015 underlying)
Purchase
Series G preferred stock
2009-12-04+746,530→ 746,530 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (746,530 underlying)
Purchase
Series G preferred stock
2009-12-04+4,140→ 4,140 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,140 underlying)
Purchase
Series G preferred stock
2009-12-04+4,339→ 4,339 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,339 underlying)
Purchase
Series G preferred stock
2009-12-04+21,607→ 21,607 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (21,607 underlying)

TRIDENT CAPITAL FUND V PRINCIPALS FUND L P

10% Owner

Transactions

Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+223,959→ 223,959 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (223,959 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,302→ 1,302 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,302 underlying)
Purchase
Series G preferred stock
2009-12-04+4,140→ 4,140 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,140 underlying)
Purchase
Series G preferred stock
2009-12-04+4,339→ 4,339 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,339 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,242→ 1,242 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,242 underlying)
Purchase
Series G preferred stock
2009-12-04+21,607→ 21,607 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (21,607 underlying)
Purchase
Series G preferred stock
2009-12-04+56,717→ 56,717 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (56,717 underlying)
Purchase
Series G preferred stock
2009-12-04+746,530→ 746,530 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (746,530 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+6,482→ 6,482 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (6,482 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+17,015→ 17,015 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (17,015 underlying)

TRIDENT CAPITAL FUND V LP

10% Owner

Transactions

Purchase
Series G preferred stock
2009-12-04+4,339→ 4,339 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,339 underlying)
Purchase
Series G preferred stock
2009-12-04+4,140→ 4,140 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,140 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,242→ 1,242 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,242 underlying)
Purchase
Series G preferred stock
2009-12-04+56,717→ 56,717 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (56,717 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+6,482→ 6,482 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (6,482 underlying)
Purchase
Series G preferred stock
2009-12-04+746,530→ 746,530 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (746,530 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+223,959→ 223,959 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (223,959 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,302→ 1,302 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,302 underlying)
Purchase
Series G preferred stock
2009-12-04+21,607→ 21,607 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (21,607 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+17,015→ 17,015 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (17,015 underlying)

TRIDENT CAPITAL PARALLEL FUND V CV

10% Owner

Transactions

Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+17,015→ 17,015 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (17,015 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,242→ 1,242 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,242 underlying)
Purchase
Series G preferred stock
2009-12-04+56,717→ 56,717 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (56,717 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+223,959→ 223,959 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (223,959 underlying)
Purchase
Series G preferred stock
2009-12-04+21,607→ 21,607 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (21,607 underlying)
Purchase
Series G preferred stock
2009-12-04+4,339→ 4,339 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,339 underlying)
Purchase
Series G preferred stock
2009-12-04+4,140→ 4,140 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,140 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,302→ 1,302 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,302 underlying)
Purchase
Series G preferred stock
2009-12-04+746,530→ 746,530 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (746,530 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+6,482→ 6,482 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (6,482 underlying)

TRIDENT CAPITAL MANAGEMENT V LLC

10% Owner

Transactions

Purchase
Series G preferred stock
2009-12-04+746,530→ 746,530 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (746,530 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+223,959→ 223,959 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (223,959 underlying)
Purchase
Series G preferred stock
2009-12-04+4,339→ 4,339 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,339 underlying)
Purchase
Series G preferred stock
2009-12-04+4,140→ 4,140 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (4,140 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,242→ 1,242 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,242 underlying)
Purchase
Series G preferred stock
2009-12-04+21,607→ 21,607 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (21,607 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+6,482→ 6,482 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (6,482 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+1,302→ 1,302 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (1,302 underlying)
Purchase
Series G preferred stock
2009-12-04+56,717→ 56,717 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (56,717 underlying)
Purchase
Warrant to purchase common stock, $0.01 par value
2009-12-04+17,015→ 17,015 total(indirect: See footnote)
Exercise: $3.00→ Common stock, $0.01 par value (17,015 underlying)

Footnotes (11)

[F1]Represents the securities that will be issuable upon the conversion (the "Conversion") of certain Senior Mandatorily Convertible Promissory Notes (the "Notes") purchased from the issuer on December 4, 2009. The Notes are mandatorily convertible into such securities in accordance with and subject to the Notes, including, among other conditions, the issuer's receipt of the necessary approvals from its shareholders.
[F10]These securities are owned by Trident Capital Fund-V Principals Fund, L.P.
[F11]These securities are owned by Trident Capital Parallel Fund-V, C.V.
[F2]Upon and subject to the Conversion, the securities will be immediately exercisable.
[F3]The Series G Preferred Stock has no expiration date.
[F4]The Notes were acquired from the issuer for the price equal to their principal amount. Each $3.00 of the principal amount of the Notes is mandatorily convertible without further consideration (in accordance with and subject to the terms of the Notes) into one share of the Series G Preferred Stock and 0.3 of a Warrant to purchase Common Stock.
[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]These securities are owned by Trident Capital Fund-V, L.P.
[F7]The Warrants will expire on the seventh anniversary of the date of Conversion.
[F8]These securities are owned by Trident Capital Fund-V Affiliates Fund, L.P.
[F9]These securities are owned by Trident Capital Fund-V Affiliates Fund (Q), L.P.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

XATA CORP /MN/

CIK 0000854398

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001123623

Filing Metadata

Form type: 4
Filed: Dec 8, 7:00 PM ET
Accepted: Dec 9, 12:23 PM ET
Size: 38.5 KB

View on SEC.gov