Filing Details

Accession Number:
0001209191-15-081079
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-11-18 18:39:57
Reporting Period:
2015-11-17
Filing Date:
2015-11-18
Accepted Time:
2015-11-18 18:39:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1122051 Xtera Communications Inc. XCOM Telephone & Telegraph Apparatus (3661) 383394611
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1005561 J Peter Barris 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-11-17 2,040,813 $0.00 2,073,869 No 4 C Indirect See Note 2
Common Stock Acquisiton 2015-11-17 585,935 $5.00 2,659,804 No 4 P Indirect See Note 2
Common Stock Acquisiton 2015-11-17 756,406 $0.00 757,668 No 4 C Indirect See Note 3
Common Stock Acquisiton 2015-11-17 214,065 $5.00 971,733 No 4 P Indirect See Note 3
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Note 2
No 4 P Indirect See Note 2
No 4 C Indirect See Note 3
No 4 P Indirect See Note 3
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A-3 Preferred Stock Disposition 2015-11-17 2,522,387 $0.00 98,169 $0.00
Common Stock Series B-3 Preferred Stock Disposition 2015-11-17 2,889,939 $0.00 111,152 $0.00
Common Stock Series C-3 Preferred Stock Disposition 2015-11-17 4,722,375 $0.00 181,630 $0.00
Common Stock Series D-3 Preferred Stock Disposition 2015-11-17 26,678,422 $0.00 1,026,094 $0.00
Common Stock Series E-3 Preferred Stock Disposition 2015-11-17 16,217,943 $0.00 623,768 $0.00
Common Stock Series A-3 Preferred Stock Disposition 2015-11-17 5,285,557 $0.00 203,291 $0.00
Common Stock Series B-3 Preferred Stock Disposition 2015-11-17 5,779,879 $0.00 222,304 $0.00
Common Stock Series C-3 Preferred Stock Disposition 2015-11-17 1,248,028 $0.00 48,002 $0.00
Common Stock Series D-3 Preferred Stock Disposition 2015-11-17 7,353,023 $0.00 282,809 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. The 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.
  2. The 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.
  3. The 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.