0000899243-15-008450.txt : 20151118
0000899243-15-008450.hdr.sgml : 20151118
20151118200156
ACCESSION NUMBER: 0000899243-15-008450
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: BYBEE CLINTON
CENTRAL INDEX KEY: 0001219043
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242039
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAZARUS STEVEN
CENTRAL INDEX KEY: 0001054117
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242040
MAIL ADDRESS:
STREET 1: 8735 WEST HIGGINS ROAD
STREET 2: SUITE 235
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NELSEN ROBERT
CENTRAL INDEX KEY: 0001219042
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242041
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ARCH VENTURE FUND VI LP
CENTRAL INDEX KEY: 0001222135
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 151242042
BUSINESS ADDRESS:
STREET 1: 8725 W HIGGINS RD
STREET 2: STE 290
CITY: CHICAGO
STATE: IL
ZIP: 60631
BUSINESS PHONE: 7733806600
MAIL ADDRESS:
STREET 1: 8725 W HIGGINS RD
STREET 2: STE 290
CITY: CHICAGO
STATE: IL
ZIP: 60631
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-11-17
0
0001122051
XTERA COMMUNICATIONS, INC.
XCOM
0001222135
ARCH VENTURE FUND VI LP
8725 W. HIGGINS ROAD SUITE 290
CHICAGO
IL
60631
0
0
1
0
0001219042
NELSEN ROBERT
8725 W. HIGGINS ROAD SUITE 290
CHICAGO
IL
60631
0
0
1
0
0001054117
LAZARUS STEVEN
8725 W. HIGGINS ROAD SUITE 290
CHICAGO
IL
60631
0
0
1
0
0001219043
BYBEE CLINTON
8725 W. HIGGINS ROAD SUITE 290
CHICAGO
IL
60631
1
0
1
0
Common Stock
2015-11-17
4
C
0
1564745
A
1885090
I
By ARCH entities
Common Stock
2015-11-17
4
P
0
300000
5.00
A
1885090
I
By ARCH Venture Fund VI, L.P.
Series A-3 Preferred Stock
2015-11-17
4
C
0
6791194
0.00
D
Common Stock
261202
0
I
By ARCH entities
Series B-3 Preferred Stock
2015-11-17
4
C
0
5779878
0.00
D
Common Stock
222305
0
I
By ARCH entities
Series C-3 Preferred Stock
2015-11-17
4
C
0
2245733
0.00
D
Common Stock
86376
0
I
By ARCH entities
Series D-3 Preferred Stock
2015-11-17
4
C
0
2488215
0.00
D
Common Stock
95704
0
I
By ARCH entities
Series E-3 Preferred Stock
2015-11-17
4
C
0
23378104
0.00
D
Common Stock
899158
0
I
By ARCH Venture Fund VI, L.P.
The 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-one basis and had no expiration date.
Total gives effect to all transactions reported on this Form.
Amount in Column 5 consists of 1,283 shares held by ARCH Entrepreneurs Fund, L.P. ("AEF"), 60,477 shares held by ARCH Venture Fund III, L.P. ("AVF III"), 66,806 shares held by ARCH Venture Fund IV, L.P. ("AVF IV"), 36,121 shares held by ARCH Venture Fund IV A, L.P. ("AVF IVA"), and 1,720,403 shares held by ARCH Venture Fund VI, L.P. ("AVF VI LP").
Consists of 699 shares held by AEF, 25,504 shares held by AVF III, 36,943 shares held by AVF IV, 20,650 shares held by AVF IVA, and 177,406 shares held by AVF VI LP.
Consists of 255 shares held by AEF, 12,609 shares held by AVF III, 13,269 shares held by AVF IV, 7,126 shares held by AVF IVA, and 189,046 shares held by AVF VI LP.
Consists of 109 shares held by AEF, 4,324 shares held by AVF III, 5,696 shares held by AVF IV, 3,151 shares held by AVF IVA, and 73,096 shares held by AVF VI LP.
Consists of 179 shares held by AEF, 7,127 shares held by AVF III, 9,389 shares held by AVF IV, 5,194 shares held by AVF IVA, and 73,815 shares held by AVF VI LP.
The sole general partner of AVF III is ARCH Venture Partners, LLC ("AVP LLC"), which may be deemed to beneficially own the shares held by AVF III. AVP LLC disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of AVP LLC are Keith Crandell, Clinton W. Bybee (who is on the Board of Directors of the Issuer), Steven Lazarus and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF III. Messrs. Crandell, Bybee, Lazarus and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein. The sole general partner of AVF IV, AVF IVA and AEF is ARCH Venture Partners IV, LLC ("AVP IV LLC"), which may be deemed to beneficially own the shares held by AVF IV, AVF IVA and AEF. AVP IV LLC disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
(Continued from Footnote 8) The managing directors of AVP IV LLC are Keith Crandell, Clinton W. Bybee, Steven Lazarus and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF IV, AVF IVA, and AEF. Messrs. Crandell, Bybee, Lazarus and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein. The sole general partner of AVF VI is ARCH Venture Partners VI, L.P. ("AVP VI LP"), which may be deemed to beneficially own the shares held by AVF VI. The sole general partner of AVP VI LP is ARCH Venture Partners VI, LLC ("AVP VI LLC"), which may be deemed to beneficially own the shares held by AVF VI. AVP VI LP and AVP VI LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
(Continued from Footnote 9) The managing directors of AVP VI LLC are Keith Crandell, Clinton W. Bybee and Robert Nelsen, and as such, they may be deemed to have shared voting and dispositive power over the shares held by AVF VI. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership in such shares, except to the extent of any pecuniary interest therein.
Form 2 of 2
By: /s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of the general partner of the general partner of AVF VI LP
2015-11-18
By: /s/ Mark McDonnell, as Attorney-in-Fact for Robert Nelsen
2015-11-18
By: /s/ Mark McDonnell, as Attorney-in-Fact for Steven Lazarus
2015-11-18
By: /s/ Mark McDonnell, as Attorney-in-Fact for Clinton W. Bybee
2015-11-18