ContractXtera Communications, Inc. • August 28th, 2015 • Telephone & telegraph apparatus • Delaware
THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR ANY STATE OR FOREIGN SECURITIES LAWS. NO SALE OR DISPOSITION MAY BE EFFECTED WITHOUT (i) EFFECTIVE REGISTRATION STATEMENTS RELATED THERETO, (ii) AN OPINION OF COUNSEL OR OTHER EVIDENCE, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATIONS ARE NOT REQUIRED, (iii) RECEIPT OF NO-ACTION LETTERS FROM THE APPROPRIATE GOVERNMENTAL AUTHORITIES, OR (iv) OTHERWISE COMPLYING WITH THE PROVISIONS OF SECTION 7 OF THIS WARRANT.
INDEMNIFICATION AGREEMENTIndemnification Agreement • October 26th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Delaware
This Indemnification Agreement, dated , is made between Xtera Communications, Inc., a Delaware corporation (the “Company”), and (the “Indemnitee”).
VENTURE LOAN AND SECURITY AGREEMENT Dated as of May 10, 2011 by and between HORIZON TECHNOLOGY FINANCE CORPORATION, a Delaware corporation Farmington, CT 06032 as Lender and XTERA COMMUNICATIONS, INC. a Delaware corporation Allen, Texas 75013 as BorrowerVenture Loan and Security Agreement • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
Shares* XTERA COMMUNICATIONS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 26th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • New York
Xtera Communications, Inc., a Delaware corporation (the “Company”), proposes to issue and sell shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.001 (the “Common Stock”), to you (collectively, the “Underwriters” or “Representatives”). The Company has also agreed to grant to you and the other Underwriters an option (the “Option”) to purchase up to an additional shares of Common Stock, on the terms and for the purposes set forth in Section 1(b) (the “Option Shares”). The Firm Shares and the Option Shares are referred to collectively herein as the “Shares.”
FOURTH AMENDMENT TO COMMERCIAL LEASECommercial Lease • October 5th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Texas
This Fourth Amendment to Commercial Lease (“Fourth Amendment”) is made and entered into this 16 day of October, 2014, by and between GL DALLAS HOLDINGS, L.P. (“Lessor”) and XTERA COMMUNICATIONS. INC. (“Lessee”).
SECOND AMENDMENT TO COMMERCIAL LEASECommercial Lease • October 5th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Second Amendment to Commercial Lease (this “Amendment”) is made and entered into as of this 25 day of June, 2003, by and between GL BETHANY TECH, L.P., a Texas limited partnership, successor to ACLP Bethany, L.P. (“Lessor”), and XTERA COMMUNICATIONS, INC., a Delaware corporation (“Lessee”) for the purposes more fully described below.
MASTER MANUFACTURING AGREEMENTMaster Manufacturing Agreement • October 5th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • New York
This Master Manufacturing Agreement (“Agreement”) is entered into as of Jan 01, 2013 (“Effective Date”) by and between Xtera Communications, Inc. (“Xtera”) with a place of business at 500 W. Bethany Drive, Suite 100 Allen, Texas 75013 and NSG Technology, Inc. (“NSGT”) with an office at 1705 Junction Ct. Suite 200, San Jose, CA 95112 forms a binding contract between the parties for manufacture and supply of the Products between Xtera and NSGT.
THIRD AMENDMENT TO COMMERCIAL LEASECommercial Lease • October 5th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Third Amendment to Commercial Lease is made and entered into between GL DALLAS HOLDINGS, L. P. is successor in interest to GL BETHANY TECH, L. P. (Lessor) and XTERA COMMUNICATIONS, INC. (Lessee) for and in consideration of One Dollar ($1.00) and other good and valuable consideration, receipt of which is hereby acknowledged.
FIRST AMENDMENT TO COMMERCIAL LEASECommercial Lease • October 5th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This First Amendment to Commercial Lease (this “Amendment”) is made and entered into as of this 1st day of January, 2001, by and between ACLP BETHANY, L.P., a Texas limited partnership (“Lessor”), and XTERA COMMUNICATIONS, INC., a Delaware corporation (“Lessee”) for the purposes more fully described below.
LICENSE AGREEMENT MICHIGAN FILES INCLUDING 1581, 1582, 1583, 1602, 1616,1617, 1868, 1869, 1870License Agreement • October 5th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Michigan
This License Agreement (the “Agreement”) is effective as of the 1st day of October, 2002 (the “Effective Date”), between Xtera Communications, Inc. (“Xtera”), a corporation incorporated in the State of Delaware, with offices located at 500 W. Bethany Drive, Allen, TX 75013, and the Regents of the University of Michigan (“Michigan”), a constitutional corporation of the State of Michigan.
XTERA COMMUNICATIONS, INC. PREFERRED STOCKHOLDER AGREEMENTPreferred Stockholder Agreement • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Delaware
This Preferred Stockholder Agreement (the “Agreement”) is made as of August 1, 2007, by and among Xtera Communications, Inc., a Delaware corporation (the “Company”), and the holders of the Series A-1 Convertible Preferred Stock, par value $0.001 per share (“Series A-1 Preferred Stock”), and the Series B-1 Convertible Preferred Stock, par value $0.001 per share (“Series B-1 Preferred Stock,” and together with the Series A-1 Preferred Stock, the “Preferred Stock”), of the Company set forth on Exhibit A attached to this Agreement (individually, an “Investor,” collectively, the “Investors”).
FIFTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This FIFTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), effective and dated as of November 1, 2013, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Funding Trust 2013-1 (“Horizon Trust”), as assignee of Horizon Technology Finance Corporation, a Delaware corporation (“Horizon” and collectively with Horizon Trust, “Lender”).
Amendment to Subordination AgreementSubordination Agreement • October 6th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Amendment to Subordination Agreement (this “Amendment”) is executed, jointly and severally, by the above-named Creditors (collectively referred to herein as “Creditor”) and HORIZON TECHNOLOGY FINANCE CORPORATION (“Horizon”), whose address is 312 Farmington Avenue, Farmington, CT 06032, with respect to the above-named Borrower (collectively referred to herein as “Borrower” or “the Borrower”). Creditor and Horizon are parties to a certain Subordination Agreement, dated September 13, 2106 (as amended, restated, supplemented, or otherwise modified from time to time, the “Subordination Agreement”). Capitalized terms used but not defined herein shall have the meanings ascribed to them in the Subordination Agreement.
XTERA COMMUNICATIONS, INC. COMMON STOCK PURCHASE WARRANTXtera Communications, Inc. • August 28th, 2015 • Telephone & telegraph apparatus • Delaware
This Warrant is being issued in connection with the purchase by the initial Holder of this Warrant of a Convertible Promissory Note of the Company dated as of the Issue Date (the “Note”) in the face amount of $[ ] pursuant to that certain Note and Warrant Purchase Agreement dated April 22, 2011, by and among the Company, the initial Holder and the other Investors named therein (the “Note Purchase Agreement”).
COMMERCIAL LEASE (TRIPLE NET WITH LANDLORD SERVICES LEASE) BETWEEN ACLP BETHANY, L.P., as Lessor, and XTERA COMMUNICATIONS, INC., as Lessee Dated: May 15, 2000Commercial Lease • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus
Limited Waiver and First Amendment to Loan AgreementLoan Agreement • May 16th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
THIS LIMITED WAIVER AND FIRST AMENDMENT TO LOAN AGREEMENT (this “Amendment”) is entered into between Pacific Western Bank (“Lender”) and, jointly and severally, the borrowers named above (collectively, “Borrower”).
THIRD AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This THIRD AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), dated as of March 9, 2012, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Technology Finance Corporation, a Delaware corporation (“Lender”).
Loan and Security AgreementLoan and Security Agreement • October 5th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • North Carolina
THIS LOAN AND SECURITY AGREEMENT is entered into on the above date between SQUARE 1 BANK (“Lender”), whose address is 406 Blackwell Street, Suite 240, Durham, North Carolina 27701, and the borrowers named above (jointly and severally, the “Borrower”), whose chief executive office is located at the above address (“Borrower’s Address”). The Schedule to this Agreement (the “Schedule”) shall for all purposes be deemed to be a part of this Agreement, and the same is an integral part of this Agreement. (Definitions of certain terms used in this Agreement are set forth in Section 8 below.)
LIMITED WAIVER AND TWELFTH amendment of VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • October 6th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This TWELFTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), effective and dated as of September 30, 2016, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Technology Finance Corporation, a Delaware corporation (“Lender”).
Limited Waiver and Eighth Amendment to Loan AgreementLoan Agreement • October 6th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Eighth Amendment to Loan Agreement (this “Amendment”) is entered into between Pacific Western Bank (“Lender”) and, jointly and severally, the borrowers named above (collectively referred to herein as “Borrower”).
FOURTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This FOURTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), dated as of April 1, 2013, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Technology Finance Corporation, a Delaware corporation (“Lender”).
Extension to the Master Manufacturing Agreement between Xtera Communications, Inc. and NSG Technology, Inc.Xtera Communications, Inc. • May 16th, 2016 • Telephone & telegraph apparatus
This Extension to the Master Manufacturing Agreement (“Extension”) is entered into as of January 1-, 2016 and is by and between Xtera Communications, Inc. (“Xtera”) with a place of business at 500 W. Bethany Drive, Suite 100, Allen, TX 75013 and NSG Technology, Inc. (“NSG”) with a place of business at 1705 Junction Court, Suite 200, San Jose, CA 95112.
SECOND AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This SECOND AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), dated as of December 13, 2011, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Technology Finance Corporation, a Delaware corporation (“Lender”).
Limited Waiver and Sixth Amendment to Loan AgreementLoan Agreement • August 4th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Limited Waiver and Sixth Amendment to Loan Agreement (this “Amendment”) is entered into between Pacific Western Bank (“Lender”) and, jointly and severally, the borrowers named above (collectively referred to herein as “Borrower”).
Amendment to Subordination AgreementSubordination Agreement • October 6th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Amendment to Subordination Agreement (this “Amendment”) is executed, jointly and severally, by the above-named Creditors (collectively referred to herein as “Creditor”) and PACIFIC WESTERN BANK (“Bank”) (successor-in-interest by merger to SQUARE 1 BANK), whose address is 406 Blackwell Street, Suite 240, Durham, North Carolina 27701, with respect to the above-named Borrowers (collectively referred to herein as “Borrower” or “the Borrower”). Creditor and Bank are parties to a certain Subordination Agreement, dated September 13, 2106 (as amended, restated, supplemented, or otherwise modified from time to time, the “Subordination Agreement”). Capitalized terms used but not defined herein shall have the meanings ascribed to them in the Subordination Agreement.
Limited Waiver and Seventh Amendment to Loan AgreementLoan Agreement • September 7th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Limited Waiver and Seventh Amendment to Loan Agreement (this “Amendment”) is entered into between Pacific Western Bank (“Lender”) and, jointly and severally, the borrowers named above (collectively referred to herein as “Borrower”).
TENTH amendment of VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • August 4th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This TENTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), effective and dated as of July 31, 2016, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Technology Finance Corporation, a Delaware corporation (“Lender”).
Subordination AgreementSubordination Agreement • September 14th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This Subordination Agreement is executed, jointly and severally, by the above-named Creditors (collectively referred to herein as “Creditor”) in favor of HORIZON TECHNOLOGY FINANCE CORPORATION (“Horizon”), whose address is 312 Farmington Avenue, Farmington, CT 06032, with respect to the above-named Borrower (referred to herein as “Borrower” or “the Borrower”). Borrower and Horizon are parties to a certain Venture Loan and Security Agreement, dated May 10, 2011 (as amended, restated, supplemented, or otherwise modified from time to time, the “Loan Agreement”). Capitalized terms used but not defined herein shall have the meanings ascribed to them in the Loan Agreement.
LIMITED WAIVER AND ELEVENTH amendment of VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • September 7th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This ELEVENTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), effective and dated as of August 31, 2016, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Technology Finance Corporation, a Delaware corporation (“Lender”).
ContractXtera Communications, Inc. • August 28th, 2015 • Telephone & telegraph apparatus • Texas
THIS NOTE HAS NOT BEEN REGISTERED UNDER UNITED STATES FEDERAL OR STATE SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, OR OTHERWISE TRANSFERRED OR ASSIGNED FOR VALUE, DIRECTLY OR INDIRECTLY, NOR MAY THIS NOTE BE TRANSFERRED ON THE BOOKS OF THE BORROWER, WITHOUT REGISTRATION OF SUCH NOTE UNDER ALL APPLICABLE UNITED STATES FEDERAL OR STATE SECURITIES LAWS OR COMPLIANCE WITH AN APPLICABLE EXEMPTION THEREFROM.
EIGHTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENTLoan and Security Agreement • June 3rd, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
(this “Agreement”), effective and dated as of May 31, 2016, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Funding Trust 2013-1 (“Horizon Trust”), as assignee of Horizon Technology Finance Corporation, a Delaware corporation (“Horizon” and collectively with Horizon Trust, “Lender”).
Second Amendment to Loan AgreementLoan Agreement • May 16th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
This Second Amendment to Loan Agreement (this “Amendment”) is entered into between Pacific Western Bank (“Lender”) and, jointly and severally, the borrowers named above (collectively referred to herein as “Borrower”).
SECURITY AGREEMENTSecurity Agreement • September 14th, 2016 • Xtera Communications, Inc. • Telephone & telegraph apparatus
this security agreement (this “Agreement”) is made as of September 13, 2016 by and among Xtera Communications, Inc., a Delaware corporation (the “Debtor”) and the investors set forth on Exhibit A attached to this Agreement (the “Secured Parties” and each of the Secured Parties individually, a “Secured Party”). Capitalized terms not specifically defined herein shall have the meanings ascribed to them in the Notes (as defined below).
SIXTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENTVenture Loan and Security Agreement • August 28th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • Connecticut
This SIXTH AMENDMENT OF VENTURE LOAN AND SECURITY AGREEMENT (this “Agreement”), effective and dated as of March 1, 2014, is entered into by and between Xtera Communications, Inc., a Delaware corporation (“Xtera” or “Borrower”) and Horizon Funding Trust 2013-1 (“Horizon Trust”), as assignee of Horizon Technology Finance Corporation, a Delaware corporation (“Horizon” and collectively with Horizon Trust, “Lender”).
THIS NOTE HAS NOT BEEN REGISTERED UNDER UNITED STATES FEDERAL OR STATE SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, OR OTHERWISE TRANSFERRED OR ASSIGNED FOR VALUE, DIRECTLY OR INDIRECTLY, NOR MAY THIS NOTE BE TRANSFERRED ON THE BOOKS OF THE...Xtera Communications, Inc. • September 14th, 2016 • Telephone & telegraph apparatus • Texas
THIS NOTE IS SUBJECT TO THE TERMS AND CONDITIONS OF A CERTAIN SUBORDINATION AGREEMENT, BY AND AMONG PACIFIC WESTERN BANK, AS SUCCESSOR IN INTEREST TO SQUARE 1 BANK, AND THE HOLDER.
