0001179110-15-015148.txt : 20151118
0001179110-15-015148.hdr.sgml : 20151118
20151118211204
ACCESSION NUMBER: 0001179110-15-015148
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151117
FILED AS OF DATE: 20151118
DATE AS OF CHANGE: 20151118
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: XTERA COMMUNICATIONS, INC.
CENTRAL INDEX KEY: 0001122051
STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661]
IRS NUMBER: 383394611
STATE OF INCORPORATION: DE
BUSINESS ADDRESS:
STREET 1: 500 WEST BETHANY DRIVE
STREET 2: SUITE 100
CITY: ALLEN
STATE: TX
ZIP: 75013
BUSINESS PHONE: 972-649-5000
MAIL ADDRESS:
STREET 1: 500 WEST BETHANY DRIVE
STREET 2: SUITE 100
CITY: ALLEN
STATE: TX
ZIP: 75013
FORMER COMPANY:
FORMER CONFORMED NAME: XTERA COMMUNICATIONS INC
DATE OF NAME CHANGE: 20000816
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PHIPPS CHARLES H
CENTRAL INDEX KEY: 0001033560
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242155
MAIL ADDRESS:
STREET 1: C/O SEVIN ROSEN FUNDS
STREET 2: 13455 NOEL ROAD, SUITE 1670
CITY: DALLAS
STATE: TX
ZIP: 75240
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KIMZEY JACKIE R
CENTRAL INDEX KEY: 0001189257
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242156
MAIL ADDRESS:
STREET 1: C/O SEVIN ROSEN FUNDS
STREET 2: 13455 NOEL RD #1670
CITY: DALLAS
STATE: TX
ZIP: 75240
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DOW STEPHEN M
CENTRAL INDEX KEY: 0001033501
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242157
MAIL ADDRESS:
STREET 1: C/O SEVIN ROSEN FUNDS
STREET 2: 13455 NOEL ROAD #1670
CITY: DALLAS
STATE: TX
ZIP: 75240
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DOMENIK STEPHEN L
CENTRAL INDEX KEY: 0001189256
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242158
MAIL ADDRESS:
STREET 1: C/O SEVIN ROSEN FUNDS
STREET 2: 13455 NOEL RD #1670
CITY: DALLAS
STATE: TX
ZIP: 75240
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JAGGERS JOHN V
CENTRAL INDEX KEY: 0001033563
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242159
MAIL ADDRESS:
STREET 1: C/O SEVIN ROSEN FUNDS
STREET 2: 13455 NOEL ROAD, SUITE 1670
CITY: DALLAS
STATE: TX
ZIP: 75240
4
1
edgar.xml
FORM 4 -
X0306
4
2015-11-17
0
0001122051
XTERA COMMUNICATIONS, INC.
XCOM
0001033563
JAGGERS JOHN V
C/O SEVIN ROSEN FUNDS
13355 NOEL ROAD, SUITE 1350
DALLAS
TX
75240
0
0
1
1
Affiliate
0001189256
DOMENIK STEPHEN L
C/O SEVIN ROSEN FUNDS
13455 NOEL ROAD, SUITE 1670
DALLAS
TX
75240
0
0
1
1
Affiliate
0001033501
DOW STEPHEN M
C/O SEVIN ROSEN FUNDS
13355 NOEL ROAD, SUITE 1350
DALLAS
TX
75240
0
0
1
1
Affiliate
0001189257
KIMZEY JACKIE R
SEVIN ROSEN FUNDS
13355 NOEL ROAD, SUITE 1350
DALLAS
TX
75240
0
0
1
1
Affiliate
0001033560
PHIPPS CHARLES H
C/O SEVIN ROSEN FUNDS
13455 NOEL ROAD, SUITE 1670
DALLAS
TX
75240
0
0
1
1
Affiliate
Common Stock
2015-11-17
4
C
0
1010984
0
A
1010984
I
See Footnote
Common Stock
2015-11-17
4
P
0
200000
5.00
A
1210984
I
See Footnote
Series A-3 Preferred Stock
2015-11-17
4
C
0
14188641
0
D
Common Stock
545718
0
I
See Footnote
Series B-3 Preferred Stock
1113
2015-11-17
4
C
0
28898
0
D
Common Stock
1113
0
I
See Footnote
Series C-3 Preferred Stock
2015-11-17
4
C
0
2430880
0
D
Common Stock
93498
0
I
See Footnote
Series D-3 Preferred Stock
2015-11-17
4
C
0
3496724
0
D
Common Stock
134491
0
I
See Footnote
Series E-3 Preferred Stock
2015-11-17
4
C
0
3412497
0
D
Common Stock
131251
0
I
See Footnote
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 1,010,984 represents 973,384 shares owned directly by Sevin Rosen Fund VII L.P. ("SRFVII"), 37,403 shares owned directly by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF") and 197 shares owned directly by Sevin Rosen Bayless Management Company ("SRBMC"). Reporting Person is a general partner of SRB Associates VII L.P. ("SRBA VII), the general partner of SRFVII and SRVII AFF, and as a general partner is deemed to have shared voting and dispositive power of the shares directly owned by SRFVII and SRVII AFF, and disclaims beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Reporting person is a director of SRBMC and as such is deemed to have shared voting and dispositive power of the shares owned directly by SRBMC and disclaims beneficial ownership with no pecuniary interest in these shares.
Total of 1,210,984 represents 1,165,984 shares owned directly by SRFVII and 44,803 shares owned directly by SRVII AFF and 197 shares owned directly by SRBMC. 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 93,498 represents 89,852 shares owned directly by SRFVII, 3,453 shares owned directly by SRVII AFF, and 193 shares owned directly by SRBMC. SRBAVII is the general partner of SRFVII and SRVII AFF, and in that capacity has shared voting and dispositive power over the shares owned directly by SRFVII and SRVII AFF. SRBAVII disclaims beneficial ownership of the shares owned directly by SRFVII and SRVII AFF 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.
John V. Jaggers ("Jaggers"), Stephen L. Domenik ("Domenik"), Stephen L. Dow ("Dow"), Jackie R. Kimzey ("Kimzey") and Charles H. Phipps ("Phipps") are general partners of SRBA VII, the general partner of SRFVII and SRVII AFF, and in that capacity have shared voting and dispositive power of the shares owned directly by SRFVII and SRVII AFF and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Jaggers, Domenik, Dow, Kimzey and Phipps are directors of SRBMC and are deemed to have shared voting and dispositive power of the shares owned directly by SRBMC and disclaim beneficial ownership with no pecuniary interest in these shares.
John V. Jaggers
2015-11-18
John V. Jaggers, As Attorney-In-Fact For Stephen L. Domenik
2015-11-18
John V. Jaggers, As Attorney-In-Fact For Stephen M. Dow
2015-11-18
John V. Jaggers, As Attorney-In-Fact For Jackie R. Kimzey
2015-11-18
John V. Jaggers, As Attorney-In-Fact For Charles H. Phipps
2015-11-18