0001209191-16-145790.txt : 20161013 0001209191-16-145790.hdr.sgml : 20161013 20161013160209 ACCESSION NUMBER: 0001209191-16-145790 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161011 FILED AS OF DATE: 20161013 DATE AS OF CHANGE: 20161013 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: CRANDELL KEITH CENTRAL INDEX KEY: 0001219039 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37617 FILM NUMBER: 161935032 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: 161935033 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: 161935034 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: NELSEN ROBERT CENTRAL INDEX KEY: 0001219042 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37617 FILM NUMBER: 161935035 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 FUND VI LP CENTRAL INDEX KEY: 0001222135 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37617 FILM NUMBER: 161935036 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 2016-10-11 0 0001122051 XTERA COMMUNICATIONS, INC. XCOM 0001222135 ARCH VENTURE FUND VI LP 8755 WEST 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 2016-10-11 4 P 0 83500 0.00 A 2016-10-11 2026-10-11 Common Stock 83500 500167 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 2016-10-13 /s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of the general partner of ARCH Partners VI 2016-10-13 /s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of ARCH VI LLC 2016-10-13 /s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell 2016-10-13 /s/ Mark McDonnell, as Attorney-in-Fact for Robert Nelsen 2016-10-13