0001209191-16-143003.txt : 20160928 0001209191-16-143003.hdr.sgml : 20160928 20160928162649 ACCESSION NUMBER: 0001209191-16-143003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160927 FILED AS OF DATE: 20160928 DATE AS OF CHANGE: 20160928 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: NEA PARTNERS 9 L P CENTRAL INDEX KEY: 0001236044 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37617 FILM NUMBER: 161907230 BUSINESS ADDRESS: STREET 1: 1119 ST PAUL STREET CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4102440115 MAIL ADDRESS: STREET 1: 1119 ST PAUL STREET CITY: BALTIMORE STATE: MD ZIP: 21202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEW ENTERPRISE ASSOCIATES 9 L P CENTRAL INDEX KEY: 0001102947 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37617 FILM NUMBER: 161907231 BUSINESS ADDRESS: STREET 1: 1954 GREENSPRING DRIVE STREET 2: SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 BUSINESS PHONE: 4102440115 MAIL ADDRESS: STREET 1: 1954 GREENSPRING DRIVE STREET 2: SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 FORMER NAME: FORMER CONFORMED NAME: NEW ENTERPRISE ASSOCIATES 9 LIMITED PARTNERSHIP DATE OF NAME CHANGE: 20000111 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-09-27 0 0001122051 XTERA COMMUNICATIONS, INC. XCOM 0001102947 NEW ENTERPRISE ASSOCIATES 9 L P 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 0001236044 NEA PARTNERS 9 L P 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 Warrants to Purchase Common Stock 0.61 2016-09-27 4 P 0 183105 A 2016-09-27 2026-09-27 Common Stock 183105 305175 D The Warrants reported on this Form 4 were issued by Xtera Communications, Inc. (the "Company") as part of a private placement of secured promissory notes (the "Notes"). Each purchaser of Notes received warrants to purchase one share of the Company's Common Stock for each $1.00 of principal amount of Notes purchased. The shares are directly held by New Enterprise Associates 9, Limited Partnership ("NEA 9") and indirectly held by NEA Partners 9, Limited Partnership ("NEA Partners 9"), the sole general partner of NEA 9, and the general partner of NEA Partners 9 (NEA Partners and its general partner together, the "Indirect Reporting Persons"). The General Partner of NEA Partners 9 is Peter J. Barris. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 9 shares in which the Indirect Reporting Persons have no pecuniary interest. /s/ Sasha Keough, attorney-in-fact 2016-09-28