4/A//SEC Filing
OCCAM NETWORKS INC/DE 4/A
Accession 0001293437-06-000025
CIK 0001108185operating
Filed
Nov 12, 7:00 PM ET
Accepted
Nov 13, 11:52 AM ET
Size
25.7 KB
Accession
0001293437-06-000025
Insider Transaction Report
Form 4/AAmended
ITSACA VC PATNERS VIII LLP
10% Owner
Transactions
- Sale
Common Stock
2006-11-07$13.23/sh−15,282$202,181→ 30,499 total(indirect: By Partnership) - Sale
Common Stock
2006-11-07$13.23/sh−304,718$4,031,419→ 617,101 total - Conversion
Common Stock
2006-11-07+70,266→ 100,765 total(indirect: By Partnership) - Conversion
Series A-2 Preferred Stock
2006-11-07−622,283→ 0 total→ Common Stock (1,414,279 underlying) - Conversion
Series A-2 Preferred Stock
2006-11-07−30,917→ 0 total(indirect: By Partnership)→ Common Stock (70,266 underlying) - Conversion
Common Stock
2006-11-07+1,414,279→ 2,031,380 total
STILL GEORGE J JR
10% Owner
Transactions
- Sale
Common Stock
2006-11-07$13.23/sh−304,718$4,031,419→ 617,101 total - Conversion
Series A-2 Preferred Stock
2006-11-07−622,283→ 0 total→ Common Stock (1,414,279 underlying) - Conversion
Series A-2 Preferred Stock
2006-11-07−30,917→ 0 total(indirect: By Partnership)→ Common Stock (70,266 underlying) - Conversion
Common Stock
2006-11-07+70,266→ 100,765 total(indirect: By Partnership) - Conversion
Common Stock
2006-11-07+1,414,279→ 2,031,380 total - Sale
Common Stock
2006-11-07$13.23/sh−15,282$202,181→ 30,499 total(indirect: By Partnership)
ABBOTT ROBERT B
Director
Transactions
- Sale
Common Stock
2006-11-07$13.23/sh−304,718$4,031,419→ 617,101 total - Conversion
Common Stock
2006-11-07+1,414,279→ 2,031,380 total - Conversion
Series A-2 Preferred Stock
2006-11-07−622,283→ 0 total→ Common Stock (1,414,279 underlying) - Sale
Common Stock
2006-11-07$13.23/sh−15,282$202,181→ 30,499 total(indirect: By Partnership) - Conversion
Common Stock
2006-11-07+70,266→ 100,765 total(indirect: By Partnership) - Conversion
Series A-2 Preferred Stock
2006-11-07−30,917→ 0 total(indirect: By Partnership)→ Common Stock (70,266 underlying)
NORWEST VENTURE PARTNERS VIII LP
10% Owner
Transactions
- Conversion
Common Stock
2006-11-07+1,414,279→ 2,031,380 total - Conversion
Series A-2 Preferred Stock
2006-11-07−622,283→ 0 total→ Common Stock (1,414,279 underlying) - Conversion
Series A-2 Preferred Stock
2006-11-07−30,917→ 0 total(indirect: By Partnership)→ Common Stock (70,266 underlying) - Conversion
Common Stock
2006-11-07+70,266→ 100,765 total(indirect: By Partnership) - Sale
Common Stock
2006-11-07$13.23/sh−304,718$4,031,419→ 617,101 total - Sale
Common Stock
2006-11-07$13.23/sh−15,282$202,181→ 30,499 total(indirect: By Partnership)
WHALEY JOHN P
10% Owner
Transactions
- Sale
Common Stock
2006-11-07$13.23/sh−304,718$4,031,419→ 617,101 total - Conversion
Common Stock
2006-11-07+70,266→ 100,765 total(indirect: By Partnership) - Sale
Common Stock
2006-11-07$13.23/sh−15,282$202,181→ 30,499 total(indirect: By Partnership) - Conversion
Series A-2 Preferred Stock
2006-11-07−30,917→ 0 total(indirect: By Partnership)→ Common Stock (70,266 underlying) - Conversion
Common Stock
2006-11-07+1,414,279→ 2,031,380 total - Conversion
Series A-2 Preferred Stock
2006-11-07−622,283→ 0 total→ Common Stock (1,414,279 underlying)
HAQUE PROMOD
10% Owner
Transactions
- Sale
Common Stock
2006-11-07$13.23/sh−304,718$4,031,419→ 617,101 total - Conversion
Common Stock
2006-11-07+1,414,279→ 2,031,380 total - Conversion
Series A-2 Preferred Stock
2006-11-07−30,917→ 0 total(indirect: By Partnership)→ Common Stock (70,266 underlying) - Conversion
Common Stock
2006-11-07+70,266→ 100,765 total(indirect: By Partnership) - Sale
Common Stock
2006-11-07$13.23/sh−15,282$202,181→ 30,499 total(indirect: By Partnership) - Conversion
Series A-2 Preferred Stock
2006-11-07−622,283→ 0 total→ Common Stock (1,414,279 underlying)
Footnotes (8)
- [F1]Norwest Venture Partners VIII, LP, a Minnesota limited partnership ("NVP VIII") is the record owner of the securities listed on Lines 1 of and 2 of Table I and Line 1 of Table II. With respect to the reporting persons named in this Form 4, Itasca VC Partners VIII, LLP ("Itasca VC Parnters VIII") is the general partner of NVP VIII; Promod Haque and George J. Still, Jr. are the managing general partners; and John P. Whaley is the managing administrative partner. As a result, Itasca VC Partners VIII and Messrs. Haque, Still, and Whaley may be deemed to beneficially own the securities held by NVP VIII. Each of Itasca VC Partners VIII and Messrs. Haque, Still, and Whaley disclaim beneficial ownership of such securities, except to the extent of its or his indirect penuniary interest therein.
- [F2]The securities listed on Lines 3 and 4 of Table I and Line 2 of Table II are held of record by NVP Entrepreneurs Fund VIII, L.P., a Delaware limited partnership ("NVP-E VIII"), whose general partner is Itasca VC Partners VIII. Promod Haque and George J. Still, Jr. are the managing partners, and John P. Whaley is the managing administrative partner of Itasca VC Partners VIII. As a result, Itasca VC Partners VIII and Messrs. Haque, Still, and Whaley may be deemed to beneficially own the securities held by NVP-E VIII. Each of Itasca VC Partners VIII and Messrs. Haque, Still, and Whaley disclaim beneficial ownership of such securities, except to the extent of his indirect penuniary interest therein.
- [F3]Robert B. Abbott is a director of Occam Networks, Inc. and a non-managing partner of Itasca VC Partners VIII, the general partner of NVP VIII, the record holder of the securities reported on Lines 1 and 2 of Table I and Line 1 of Table II. Mr. Abbott is also a non-managing partner of Itasca VC Partners VIII, the general partner of NVP-E VIII, the record holder of the securities reported on Lines 3 and 4 of Table I and Line 2 of Table II. Information with respect to the securities held by NVP VIII and NVP-E VIII are reported on Lines 1 through 4 of Table I and Lines 1 and 2 of Table II for the individual managing partners of each such entity who are named in this joint filing on Form 4. As a non-managing partner, Mr. Abbott has no voting or invstment authority with respect to any securities held of record by NVP VIII and NVP-E VIII, and thus is not deemed to beneficially own such securities, except to the extent of his indirect pecuniary interest therein.
- [F4]Reflects 1-for-40 reverse stock split effective March 10, 2006.
- [F5]The Series A-2 Preferred Stock had a purchase price and conversion value of $10.00 per share and a conversion price of $4.40 per share, resulting in a conversion rate of 2.2727273 shares of Common Stock for each share of Series A-2 Preferred Stock.
- [F6]Includes 50,682, 178,625, and 107,175 shares of Series A-2 Preferred Stock purchased by NVP VIII on April 1, 2004, January 2, 2005, and March 23, 2005, respectively.
- [F7]Includes 2,518, 8,875, and 5,325 shares of Series A-2 Preferred Stock purchased by NVP-E VIII on April 1, 2004, January 7, 2005, and March 23, 2005, respectively.
- [F8]Not applicable.
Documents
Issuer
OCCAM NETWORKS INC/DE
CIK 0001108185
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001108185
Filing Metadata
- Form type
- 4/A
- Filed
- Nov 12, 7:00 PM ET
- Accepted
- Nov 13, 11:52 AM ET
- Size
- 25.7 KB