SEC Form 4 · accession 0000899243-15-008429
XTERA COMMUNICATIONS, INC. · XCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Les Barkley
Officer — EVP & Managing Director, AMEA
Period of report
Nov 17, 2015
Accepted (ET)
Nov 18, 2015 · 6:42 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 | Nov 17, 2015 | C | 25,403 | — | A | 25,403 | I | By Polycomp Trust Company Custodian FBO Les Barkley IRA 3009751 |
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 | 660,465 | D | — | — | Common Stock | 25,403 | 0 | I |
Explanation of responses
- F1The Series E-3 Preferred Stock converted into Common Stock on a 26-for-one basis and had no expiration date.