SEC Form 4 · accession 0001179110-15-015141
XTERA COMMUNICATIONS, INC. · XCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
SEVIN ROSEN FUND VII LP
10% Owner
SEVIN ROSEN VII AFFILIATES FUND LP
10% Owner
SRB ASSOCIATES VII LP
10% Owner
Period of report
Nov 17, 2015
Accepted (ET)
Nov 18, 2015 · 9:01 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 | 1,010,787 | — | A | 1,010,787 | I | SeeFootnote |
| Common StockF3 | Nov 17, 2015 | P | 200,000 | $5.00 | A | 1,210,787 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-3 Preferred StockF1,F4 | — | Nov 17, 2015 | C | 14,188,641 | D | — | — | Common Stock | 545,718 | 0 | I |
| Series B-3 Preferred StockF1,F5 | — | Nov 17, 2015 | C | 28,898 | D | — | — | Common Stock | 1,113 | 0 | I |
| Series C-3 Preferred StockF1,F6 | — | Nov 17, 2015 | C | 2,425,884 | D | — | — | Common Stock | 93,305 | 0 | I |
| Series D-3 Preferred StockF1,F7 | — | Nov 17, 2015 | C | 3,496,724 | D | — | — | Common Stock | 134,491 | 0 | I |
| Series E-3 Preferred StockF1,F8 | — | Nov 17, 2015 | C | 3,412,497 | D | — | — | Common Stock | 131,251 | 0 | I |
Explanation of responses
- F1Each share of 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-1 basis immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date.
- F2Total of 1,010,787 represents 973,384 shares owned directly by Sevin Rosen Fund VII L.P. ("SRFVII") and 37,403 shares owned directly by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF"). SRB Associates VII L.P. ("SRBA VII") is the general partner of SRFVII and SRVII AFF and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest.
- F3Total of 1,210,787 represents 1,165,984 shares owned directly by SRFVII and 44,803 shares owned directly by SRVII AFF. SRBA VII is the general partner of SRFVII and SRVII AFF and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest.
- F4Total of 545,718 represents 525,526 shares owned directly by SRFVII and 20,192 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.
- F5Total of 1,113 represents 1,071 shares owned directly by SRFVII and 42 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.
- F6Total of 93,305 represents 89,852 shares owned directly by SRFVII and 3,453 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest
- F7Total of 134,491 represents 129,514 shares owned directly by SRFVII and 4,977 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest
- F8Total of 131,251 represents 126,394 shares owned directly by SRFVII and 4,857 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.