SEC Form 4 · accession 0001209191-16-142292
XTERA COMMUNICATIONS, INC. · XCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon R Hopper
Officer — Chief Executive Officer · Director
Period of report
Sep 20, 2016
Accepted (ET)
Sep 21, 2016 · 5:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001122051
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to Purchase Common StockF1 | $0.61 | Sep 20, 2016 | P | 200,000 | A | Sep 20, 2016 | Sep 20, 2026 | Common Stock | 200,000 | 366,666 | D |
Explanation of responses
- F1The Warrants reported on this Form 4 were issued by Xtera Communications, Inc. (the "Company") as part of a private placement of secured promissory notes (the "Notes"). Each purchaser of Notes received warrants to purchase one share of the Company's Common Stock for each $1.00 of principal amount of Notes purchased.