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