0001209191-16-142995.txt : 20160928
0001209191-16-142995.hdr.sgml : 20160928
20160928161300
ACCESSION NUMBER: 0001209191-16-142995
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: NELSEN ROBERT
CENTRAL INDEX KEY: 0001219042
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 161907081
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRANDELL KEITH
CENTRAL INDEX KEY: 0001219039
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 161907082
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ARCH VENTURE PARTNERS VI LLC
CENTRAL INDEX KEY: 0001274412
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 161907083
BUSINESS ADDRESS:
STREET 1: C/O ARCH VENTURE PARTNERS
STREET 2: 8725 W. HIGGINS RD #290
CITY: CHICAGO
STATE: IL
ZIP: 60631
BUSINESS PHONE: 7733806600
MAIL ADDRESS:
STREET 1: C/O ARCH VENTURE PARTNERS
STREET 2: 8725 W. HIGGINS RD. #290
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ARCH VENTURE PARTNERS VI LP
CENTRAL INDEX KEY: 0001274410
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37617
FILM NUMBER: 161907084
BUSINESS ADDRESS:
STREET 1: C/O ARCH VENTURE PARTNERS
STREET 2: 8755 W. HIGGINS RD #1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
BUSINESS PHONE: 7733806600
MAIL ADDRESS:
STREET 1: C/O ARCH VENTURE PARTNERS
STREET 2: 8755 W. HIGGINS RD #1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
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: 161907085
BUSINESS ADDRESS:
STREET 1: 8755 W HIGGINS RD
STREET 2: STE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
BUSINESS PHONE: 7733806600
MAIL ADDRESS:
STREET 1: 8755 W HIGGINS RD
STREET 2: STE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-09-27
0
0001122051
XTERA COMMUNICATIONS, INC.
XCOM
0001222135
ARCH VENTURE FUND VI LP
8755 HIGGINS ROAD SUITE 1025
CHICAGO
IL
60631
0
0
1
0
0001274410
ARCH VENTURE PARTNERS VI LP
8755 W. HIGGINS ROAD, SUITE 1025
CHICAGO
IL
60631
0
0
1
0
0001274412
ARCH VENTURE PARTNERS VI LLC
8755 W. HIGGINS ROAD, SUITE 1025
CHICAGO
IL
60631
0
0
1
0
0001219039
CRANDELL KEITH
8755 W. HIGGINS ROAD, SUITE 1025
CHICAGO
IL
60631
0
0
1
0
0001219042
NELSEN ROBERT
8755 W. HIGGINS ROAD, SUITE 1025
CHICAGO
IL
60631
0
0
1
0
Warrants to Purchase Common Stock
0.61
2016-09-27
4
P
0
250000
0.00
A
2016-09-27
2026-09-27
Common Stock
250000
416667
I
See Footnote
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 Warrants are held of record by ARCH Venture Fund VI, L.P. ("ARCH Fund VI"). The sole general partner of ARCH Fund VI is ARCH Venture Partners VI, L.P. ("ARCH Partners VI"), which may be deemed to beneficially own the shares held by ARCH Fund VI. The sole general partner of ARCH Partners VI is ARCH Venture Partners VI, LLC ("ARCH VI LLC"), which may be deemed to beneficially own the shares held by ARCH Fund VI. ARCH Partners VI and ARCH VI LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of ARCH VI LLC are Clinton Bybee, Keith Crandell and Robert Nelsen, and as such they may be deemed to have shared voting and investment power over the shares held by ARCH Fund VI. Mr. Bybee is a member of the Company's board of directors. Messrs. Bybee, Crandell and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of the general partner of the general partner of ARCH Fund VI
2016-09-28
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of the general partner of ARCH Partners VI
2016-09-28
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of ARCH VI LLC
2016-09-29
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell
2016-09-28
/s/ Mark McDonnell, as Attorney-in-Fact for Robert Nelsen
2016-09-28