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Filing Details

Accession Number:
0000899243-15-008450
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-11-18 20:01:56
Reporting Period:
2015-11-17
Filing Date:
2015-11-18
Accepted Time:
2015-11-18 20:01:56
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
1054117 Steven Lazarus 8725 W. Higgins Road Suite 290
Chicago IL 60631
No No Yes No
1219042 Robert Nelsen 8725 W. Higgins Road Suite 290
Chicago IL 60631
No No Yes No
1219043 Clinton Bybee 8725 W. Higgins Road Suite 290
Chicago IL 60631
Yes No Yes No
1222135 Arch Venture Fund Vi Lp 8725 W. Higgins Road Suite 290
Chicago IL 60631
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 1,564,745 $0.00 1,885,090 No 4 C Indirect By ARCH entities
Common Stock Acquisiton 2015-11-17 300,000 $5.00 1,885,090 No 4 P Indirect By ARCH Venture Fund VI, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By ARCH entities
No 4 P Indirect By ARCH Venture Fund VI, L.P.
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 6,791,194 $0.00 261,202 $0.00
Common Stock Series B-3 Preferred Stock Disposition 2015-11-17 5,779,878 $0.00 222,305 $0.00
Common Stock Series C-3 Preferred Stock Disposition 2015-11-17 2,245,733 $0.00 86,376 $0.00
Common Stock Series D-3 Preferred Stock Disposition 2015-11-17 2,488,215 $0.00 95,704 $0.00
Common Stock Series E-3 Preferred Stock Disposition 2015-11-17 23,378,104 $0.00 899,158 $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
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. Total gives effect to all transactions reported on this Form.
  3. Amount in Column 5 consists of 1,283 shares held by ARCH Entrepreneurs Fund, L.P. ("AEF"), 60,477 shares held by ARCH Venture Fund III, L.P. ("AVF III"), 66,806 shares held by ARCH Venture Fund IV, L.P. ("AVF IV"), 36,121 shares held by ARCH Venture Fund IV A, L.P. ("AVF IVA"), and 1,720,403 shares held by ARCH Venture Fund VI, L.P. ("AVF VI LP").
  4. Consists of 699 shares held by AEF, 25,504 shares held by AVF III, 36,943 shares held by AVF IV, 20,650 shares held by AVF IVA, and 177,406 shares held by AVF VI LP.
  5. Consists of 255 shares held by AEF, 12,609 shares held by AVF III, 13,269 shares held by AVF IV, 7,126 shares held by AVF IVA, and 189,046 shares held by AVF VI LP.
  6. Consists of 109 shares held by AEF, 4,324 shares held by AVF III, 5,696 shares held by AVF IV, 3,151 shares held by AVF IVA, and 73,096 shares held by AVF VI LP.
  7. Consists of 179 shares held by AEF, 7,127 shares held by AVF III, 9,389 shares held by AVF IV, 5,194 shares held by AVF IVA, and 73,815 shares held by AVF VI LP.
  8. The sole general partner of AVF III is ARCH Venture Partners, LLC ("AVP LLC"), which may be deemed to beneficially own the shares held by AVF III. AVP LLC disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of AVP LLC are Keith Crandell, Clinton W. Bybee (who is on the Board of Directors of the Issuer), Steven Lazarus and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF III. Messrs. Crandell, Bybee, Lazarus and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein. The sole general partner of AVF IV, AVF IVA and AEF is ARCH Venture Partners IV, LLC ("AVP IV LLC"), which may be deemed to beneficially own the shares held by AVF IV, AVF IVA and AEF. AVP IV LLC disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
  9. (Continued from Footnote 8) The managing directors of AVP IV LLC are Keith Crandell, Clinton W. Bybee, Steven Lazarus and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF IV, AVF IVA, and AEF. Messrs. Crandell, Bybee, Lazarus and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein. The sole general partner of AVF VI is ARCH Venture Partners VI, L.P. ("AVP VI LP"), which may be deemed to beneficially own the shares held by AVF VI. The sole general partner of AVP VI LP is ARCH Venture Partners VI, LLC ("AVP VI LLC"), which may be deemed to beneficially own the shares held by AVF VI. AVP VI LP and AVP VI LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
  10. (Continued from Footnote 9) The managing directors of AVP VI LLC are Keith Crandell, Clinton W. Bybee and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF VI. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein.