SEC Form 4 · accession 0001209191-15-081078

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 · 6:39 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,F2	Nov 17, 2015	C	2,040,813	—	A	2,073,869	D
Common Stock^F2	Nov 17, 2015	P	585,935	$5.00	A	2,659,804	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	2,522,387	D	—	—	Common Stock	98,169	D
Series B-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	2,889,939	D	—	—	Common Stock	111,152	D
Series C-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	4,722,375	D	—	—	Common Stock	181,630	D
Series D-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	26,678,422	D	—	—	Common Stock	1,026,094	D
Series E-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	16,217,943	D	—	—	Common Stock	623,768	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.
F2The shares are directly held by New Enterprise Associates 9, Limited Partnership ("NEA 9") and indirectly held by NEA Partners 9, Limited Partnership ("NEA Partners 9"), the sole general partner of NEA 9, and the general partner of NEA Partners 9 (NEA Partners and their general partner together, the "Indirect Reporting Persons"). The General Partner of NEA Partners 9 is Peter J. Barris. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 9 shares in which the Indirect Reporting Persons have no pecuniary interest.