SEC Form 4 · accession 0000899243-15-008428
XTERA COMMUNICATIONS, INC. · XCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon R Hopper
Officer — President and CEO · Director
Period of report
Nov 17, 2015
Accepted (ET)
Nov 18, 2015 · 6:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001122051
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 17, 2015 | C | 397,467 | — | A | 584,520 | D | |
| Common StockF2 | Nov 17, 2015 | P | 100,000 | $5.00 | A | 584,520 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series E-3 Preferred StockF1 | — | Nov 17, 2015 | C | 10,334,117 | D | — | — | Common Stock | 397,467 | 0 | D |
Explanation of responses
- F1The Series E-3 Preferred Stock converted into Common Stock on a 26-for-one basis and had no expiration date.
- F2This total gives effect to all transactions listed on this Form.