SEC Form 4 · accession 0000899243-15-008431

XTERA COMMUNICATIONS, INC. · XCOM

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

Reporting owner

Director

Period of report

Nov 17, 2015

Accepted (ET)

Nov 18, 2015 · 6:45 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	Nov 17, 2015	C	435,324	—	A	438,477	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A-3 Preferred Stock^F1	—	Nov 17, 2015	C	2,524,126	D	—	—	Common Stock	97,082	D
Series B-3 Preferred Stock^F1	—	Nov 17, 2015	C	231,195	D	—	—	Common Stock	8,893	D
Series C-3 Preferred Stock^F1	—	Nov 17, 2015	C	393,146	D	—	—	Common Stock	15,121	D
Series D-3 Preferred Stock^F1	—	Nov 17, 2015	C	699,190	D	—	—	Common Stock	26,892	D
Series E-3 Preferred Stock^F1	—	Nov 17, 2015	C	7,470,718	D	—	—	Common Stock	287,336	D

F1The Series A-3 Preferred Stock, 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.