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Filing Details

Accession Number:: 0001179110-15-015141
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-11-18 21:01:17
Reporting Period:: 2015-11-17

Filing Date:: 2015-11-18
Accepted Time:: 2015-11-18 21:01:17
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	Director	Officer	Large Shareholder	Other
1257928	Sevin Rosen Fund Vii Lp	13455 Noel Road, Suite 1670 Dallas TX 75240	No	No	Yes	No
1257929	Sevin Rosen Vii Affiliates Fund Lp	13455 Noel Road, Suite 1670 Dallas TX 75240	No	No	Yes	No
1258434	Srb Associates Vii Lp	13455 Noel Road, Suite 1670 Dallas, TX 75240	No	No	Yes	No

Reported Non-Derivative Transactions

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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	1,010,787	$0.00	1,010,787	No	4	C	Indirect	SeeFootnote
Common Stock	Acquisiton	2015-11-17	200,000	$5.00	1,210,787	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	SeeFootnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-3 Preferred Stock	Disposition	2015-11-17	14,188,641	$0.00	545,718	$0.00
Common Stock	Series B-3 Preferred Stock	Disposition	2015-11-17	28,898	$0.00	1,113	$0.00
Common Stock	Series C-3 Preferred Stock	Disposition	2015-11-17	2,425,884	$0.00	93,305	$0.00
Common Stock	Series D-3 Preferred Stock	Disposition	2015-11-17	3,496,724	$0.00	134,491	$0.00
Common Stock	Series E-3 Preferred Stock	Disposition	2015-11-17	3,412,497	$0.00	131,251	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

Each share of 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-1 basis immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date.
Total of 1,010,787 represents 973,384 shares owned directly by Sevin Rosen Fund VII L.P. ("SRFVII") and 37,403 shares owned directly by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF"). SRB Associates VII L.P. ("SRBA VII") is the general partner of SRFVII and SRVII AFF and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest.
Total of 1,210,787 represents 1,165,984 shares owned directly by SRFVII and 44,803 shares owned directly by SRVII AFF. SRBA VII is the general partner of SRFVII and SRVII AFF and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest.
Total of 545,718 represents 525,526 shares owned directly by SRFVII and 20,192 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.
Total of 1,113 represents 1,071 shares owned directly by SRFVII and 42 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.
Total of 93,305 represents 89,852 shares owned directly by SRFVII and 3,453 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest
Total of 134,491 represents 129,514 shares owned directly by SRFVII and 4,977 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest
Total of 131,251 represents 126,394 shares owned directly by SRFVII and 4,857 shares owned directly by SRVII AFF. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAVII disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.