Home > Insider Trading > Filing (0001209191-15-081078)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1122051	Xtera Communications Inc.	XCOM	Telephone & Telegraph Apparatus (3661)	383394611

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1102947	P L 9 Associates Enterprise New	1954 Greenspring Drive Suite 600 Timonium MD 21093		No	No	Yes	No
1236044	P L 9 Partners Nea	1954 Greenspring Drive Suite 600 Timonium MD 21093		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-11-17	2,040,813	$0.00	2,073,869	No	4	C	Direct
Common Stock	Acquisiton	2015-11-17	585,935	$5.00	2,659,804	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-3 Preferred Stock	Disposition	2015-11-17	2,522,387	$0.00	98,169	$0.00
Common Stock	Series B-3 Preferred Stock	Disposition	2015-11-17	2,889,939	$0.00	111,152	$0.00
Common Stock	Series C-3 Preferred Stock	Disposition	2015-11-17	4,722,375	$0.00	181,630	$0.00
Common Stock	Series D-3 Preferred Stock	Disposition	2015-11-17	26,678,422	$0.00	1,026,094	$0.00
Common Stock	Series E-3 Preferred Stock	Disposition	2015-11-17	16,217,943	$0.00	623,768	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct

Footnotes

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.
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 their 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.