OCCAM NETWORKS INC/DE 4
4 · OCCAM NETWORKS INC/DE · Filed Nov 21, 2003
Insider Transaction Report
Form 4
KASE RONALD H
Other
Transactions
- Purchase
Series A-2 Preferred
2003-11-19$10.00/sh+200,000$2,000,000→ 200,000 total(indirect: See Note 1)Exercise: $0.11From: 1988-08-08Exp: 1988-08-08→ Common Stock (18,181,818 underlying)
Footnotes (5)
- [F1]The Reporting Person is a general partner of NEA Partners 9, Limited Partnership ("NEA 9"). All of the shares are held by NEA 9, and 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 securities held by NEA 9, in which the Reporting Person has no actual pecuniary interest therein.
- [F2]Conversion rate is 90.909 to 1.
- [F3]Immediately.
- [F4]Not applicable.
- [F5]In addition to the shares reported herein, the Reporting Person indirectly owns through NEA 9, 45,611,413 common shares (the "NEA 9 Shares"). The Reporting Person also is a general partner of NEA General Partners, Limited Partnership ("NEA General Partners"), and NEA Partners VII, Limited Partnership ("NEA Partners VII"), the general partner of New Enterprise Associates VII, Limited Partnership ("NEA VII"). NEA VII, NEA Partners VII and NEA General Partners, respectively own 3,233,522 and 672,110 and 1,486 common shares of the issuer (the "NEA VII Shares" and "NEA Partners VII Shares" and "NEA General Partners Shares", respectively). 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, NEA VII Shares, NEA Partners VII Shares, and NEA General Partners Shares in whch the Reporting Person has no actual pecuniary interest therein.