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