XTERA COMMUNICATIONS, INC. 4
4 · XTERA COMMUNICATIONS, INC. · Filed Oct 13, 2016
Insider Transaction Report
Form 4
NEW ENTERPRISE ASSOCIATES 9 L P
10% Owner
Transactions
- Purchase
Warrants to Purchase Common Stock
2016-10-11+61,157→ 366,332 totalExercise: $0.61From: 2016-10-11Exp: 2026-10-11→ Common Stock (61,157 underlying)
Footnotes (2)
- [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 Warrants are directly held by New Enterprise Associates 9, Limited Partnership ("NEA 9") and indirectly held by NEA Partners 9, Limited Partnership ("NEA Partners 9"), the sole general partner of NEA 9, and the general partner of NEA Partners 9 (NEA Partners and its general partner together, the "Indirect Reporting Persons"). The General Partner of NEA Partners 9 is Peter J. Barris. The Indirect Reporting Persons disclaim 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 Warrants in which the Indirect Reporting Persons have no pecuniary interest.