SEC Form 4 · accession 0001209191-15-081079

XTERA COMMUNICATIONS, INC. · XCOM

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

Reporting 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	I	See Note 2
Common Stock^F2	Nov 17, 2015	P	585,935	$5.00	A	2,659,804	I	See Note 2
Common Stock^F1,F3	Nov 17, 2015	C	756,406	—	A	757,668	I	See Note 3
Common Stock^F3	Nov 17, 2015	P	214,065	$5.00	A	971,733	I	See Note 3

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	I
Series B-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	2,889,939	D	—	—	Common Stock	111,152	I
Series C-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	4,722,375	D	—	—	Common Stock	181,630	I
Series D-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	26,678,422	D	—	—	Common Stock	1,026,094	I
Series E-3 Preferred Stock^F2,F1	—	Nov 17, 2015	C	16,217,943	D	—	—	Common Stock	623,768	I
Series A-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	5,285,557	D	—	—	Common Stock	203,291	I
Series B-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	5,779,879	D	—	—	Common Stock	222,304	I
Series C-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	1,248,028	D	—	—	Common Stock	48,002	I
Series D-3 Preferred Stock^F3,F1	—	Nov 17, 2015	C	7,353,023	D	—	—	Common Stock	282,809	I

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 Reporting Person is the sole general partner of NEA Partners 9, Limited Partnership ("NEA Partners 9"). NEA Partners 9 is the sole general partner of New Enterprise Associates 9, Limited Partnership ("NEA 9"), which is the direct beneficial owner of the securities. The Reporting Person disclaims 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 Reporting Person has no pecuniary interest.
F3The Reporting Person is a general partner of NEA Partners 10, Limited Partnership ("NEA Partners 10"). NEA Partners 10 is the sole general partner of New Enterprise Associates 10, Limited Partnership ("NEA 10"), which is the direct beneficial owner of the securities. The Reporting Person disclaims 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 10 shares in which the Reporting Person has no pecuniary interest.