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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 Insider Title 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
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
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
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. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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
  7. 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
  8. 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.