4//SEC Filing
XTERA COMMUNICATIONS, INC. 4
Accession 0001209191-16-143004
CIK 0001122051operating
Filed
Sep 27, 8:00 PM ET
Accepted
Sep 28, 4:27 PM ET
Size
9.2 KB
Accession
0001209191-16-143004
Insider Transaction Report
Form 4
BARRIS PETER J
10% Owner
Transactions
- Purchase
Warrants to Purchase Common Stock
2016-09-27+66,895→ 111,492 total(indirect: See Note 3)Exercise: $0.61From: 2016-09-27Exp: 2026-09-27→ Common Stock (66,895 underlying) - Purchase
Warrants to Purchase Common Stock
2016-09-27+183,105→ 305,175 total(indirect: See Note 2)Exercise: $0.61From: 2016-09-27Exp: 2026-09-27→ Common Stock (183,105 underlying)
Footnotes (3)
- [F1]The Warrants reported on this Form 4 were issued by Xtera Communications, Inc. (the "Company") as part of a private placement of secured promissory notes (the "Notes"). Each purchaser of Notes received warrants to purchase one share of the Company's Common Stock for each $1.00 of principal amount of Notes purchased.
- [F2]The Reporting Person is the sole general partner of NEA Partners 9, Limited Partnership ("NEA Partners 9"). NEA Partners 9 is the sole general partner of New Enterprise Associates 9, Limited Partnership ("NEA 9"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 9 shares in which the Reporting Person has no pecuniary interest.
- [F3]The Reporting Person is a general partner of NEA Partners 10, Limited Partnership ("NEA Partners 10"). NEA Partners 10 is the sole general partner of New Enterprise Associates 10, Limited Partnership ("NEA 10"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the Reporting Person has no pecuniary interest.
Documents
Issuer
XTERA COMMUNICATIONS, INC.
CIK 0001122051
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001122051
Filing Metadata
- Form type
- 4
- Filed
- Sep 27, 8:00 PM ET
- Accepted
- Sep 28, 4:27 PM ET
- Size
- 9.2 KB