SEC Form 4 · accession 0000899243-15-008430

XTERA COMMUNICATIONS, INC. · XCOM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Nov 17, 2015

Accepted (ET)

Nov 18, 2015 · 6:44 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 Stock^F1,F3	Nov 17, 2015	C	1,777,892	—	A	1,777,892	I	By Wellcome Trust Investments 2 Unlimited
Common Stock^F1	Nov 17, 2015	C	33,445	—	A	94,921	D
Common Stock^F2	Nov 17, 2015	P	600,000	$5.00	A	694,921	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	14,449,697	D	—	—	Common Stock	555,758	I
Series C-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	5,788,364	D	—	—	Common Stock	222,630	I
Series D-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	15,508,757	D	—	—	Common Stock	596,491	I
Series E-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	10,478,326	D	—	—	Common Stock	403,013	I
Series E-3 Preferred Stock^F1	—	Nov 17, 2015	C	869,550	D	—	—	Common Stock	33,445	D

F1The Series B-3 Preferred Stock, Series C-3 Preferred Stock, Series D-3 Preferred Stock and 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 reported on this Form.
F3Wellcome Trust Investments 2 Unlimited is a wholly owned subsidiary of The Wellcome Trust Limited as Trustee of the Wellcome Trust.