SEC Form 4 · accession 0001209191-16-092640
XTERA COMMUNICATIONS, INC. · XCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Les Barkley
Officer — EVP Managing Director, EMEA
Period of report
Jan 15, 2016
Accepted (ET)
Jan 20, 2016 · 5:04 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 | Jan 15, 2016 | M | 38,462 | $0.52 | A | 38,462 | D | |
| Common Stock | holding | — | — | — | 25,403 | I | By Polycomp Trust Company Custodian FBO Les Barkley IRA 3009751 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $0.52 | Jan 15, 2016 | M | 38,462 | D | — | Oct 13, 2021 | Common Stock | 38,462 | 0 | D |
Explanation of responses
- F1This stock option grant is fully vested