Filing Details
- Accession Number:
- 0000899243-15-008430
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-18 18:44:15
- Reporting Period:
- 2015-11-17
- Filing Date:
- 2015-11-18
- Accepted Time:
- 2015-11-18 18:44:15
- SEC Url:
- Form 4 Filing
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 |
|---|---|---|---|---|---|---|---|
| 1026720 | Trust Wellcome The Of Trustee As (The) Ltd Trust Wellcome | 215 Euston Road London X0 NW1 2BE | No | No | Yes | No | |
| 1657782 | Unlimited 2 Investments Trust Wellcome | 215 Euston Road London X0 NW1 2BE | 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 | 1,777,892 | $0.00 | 1,777,892 | No | 4 | C | Indirect | By Wellcome Trust Investments 2 Unlimited |
| Common Stock | Acquisiton | 2015-11-17 | 33,445 | $0.00 | 94,921 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2015-11-17 | 600,000 | $5.00 | 694,921 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Wellcome Trust Investments 2 Unlimited |
| 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 B-3 Preferred Stock | Disposition | 2015-11-17 | 14,449,697 | $0.00 | 555,758 | $0.00 |
| Common Stock | Series C-3 Preferred Stock | Disposition | 2015-11-17 | 5,788,364 | $0.00 | 222,630 | $0.00 |
| Common Stock | Series D-3 Preferred Stock | Disposition | 2015-11-17 | 15,508,757 | $0.00 | 596,491 | $0.00 |
| Common Stock | Series E-3 Preferred Stock | Disposition | 2015-11-17 | 10,478,326 | $0.00 | 403,013 | $0.00 |
| Common Stock | Series E-3 Preferred Stock | Disposition | 2015-11-17 | 869,550 | $0.00 | 33,445 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct |
Footnotes
- The 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.
- This total gives effect to all transactions reported on this Form.
- Wellcome Trust Investments 2 Unlimited is a wholly owned subsidiary of The Wellcome Trust Limited as Trustee of the Wellcome Trust.
Billionaire Hedge Funds
