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