0000899243-15-008044.txt : 20151112 0000899243-15-008044.hdr.sgml : 20151112 20151112132005 ACCESSION NUMBER: 0000899243-15-008044 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151112 FILED AS OF DATE: 20151112 DATE AS OF CHANGE: 20151112 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: Wellcome Trust Investments 2 Unlimited CENTRAL INDEX KEY: 0001657782 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37617 FILM NUMBER: 151223166 BUSINESS ADDRESS: STREET 1: 215 EUSTON ROAD CITY: LONDON STATE: X0 ZIP: NW1 2BE BUSINESS PHONE: 011442076118888 MAIL ADDRESS: STREET 1: 215 EUSTON ROAD CITY: LONDON STATE: X0 ZIP: NW1 2BE REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WELLCOME TRUST LTD (THE) as trustee of the WELLCOME TRUST CENTRAL INDEX KEY: 0001026720 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37617 FILM NUMBER: 151223167 BUSINESS ADDRESS: STREET 1: 215 EUSTON ROAD CITY: LONDON STATE: X0 ZIP: NW1 2BE BUSINESS PHONE: 011 44 20 7611 8888 MAIL ADDRESS: STREET 1: 215 EUSTON ROAD CITY: LONDON STATE: X0 ZIP: NW1 2BE FORMER NAME: FORMER CONFORMED NAME: WELLCOME TRUST LTD DATE OF NAME CHANGE: 19961108 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2015-11-12 0 0001122051 XTERA COMMUNICATIONS, INC. XCOM 0001026720 WELLCOME TRUST LTD (THE) as trustee of the WELLCOME TRUST 215 EUSTON ROAD LONDON X0 NW1 2BE UNITED KINGDOM 0 0 1 0 0001657782 Wellcome Trust Investments 2 Unlimited 215 EUSTON ROAD LONDON X0 NW1 2BE UNITED KINGDOM 0 0 1 0 Common Stock 61476 D Series B-3 Preferred Stock Common Stock 555758 I By Wellcome Trust Investments 2 Unlimited Series C-3 Preferred Stock Common Stock 222630 I By Wellcome Trust Investments 2 Unlimited Series D-3 Preferred Stock Common Stock 596491 I By Wellcome Trust Investments 2 Unlimited Series E-3 Preferred Stock Common Stock 403013 I By Wellcome Trust Investments 2 Unlimited Series E-3 Preferred Stock Common Stock 33445 D Each share of Series B-3 Preferred Stock, Series C-3 Preferred Stock, Series D-3 Preferred Stock and Series E-3 Preferred Stock is convertible into common stock at any time, at the election of the holders thereof, on a 26-for-one basis and has no expiration date. Reflects conversion of preferred stock into common stock. Wellcome Trust Investments 2 Unlimited is a wholly owned subsidiary of The Wellcome Trust Limited as trustee of the Wellcome Trust. /s/ Peter Pereira Gray, Managing Director, Investment Division, on behalf of The Wellcome Trust Limited as trustee of the Wellcome Trust and Wellcome Investments 2 Unlimited 2015-11-12