Filing Details
- Accession Number:
- 0001227025-13-000028
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-10 18:41:29
- Reporting Period:
- 2013-07-08
- Filing Date:
- 2013-07-10
- Accepted Time:
- 2013-07-10 18:41:29
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1227025 | Neophotonics Corp | NPTN | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1488404 | Daniel James Fay | 2911 Zanker Rd San Jose CA 95134 | Svp And Cfo | No | Yes | No | 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 | 2013-07-08 | 6,000 | $4.25 | 30,035 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-07-08 | 6,000 | $9.00 | 24,035 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-07-08 | 4,000 | $4.25 | 28,035 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-07-08 | 4,000 | $9.00 | 24,035 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2013-07-08 | 4,000 | $0.00 | 4,000 | $4.25 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2013-07-08 | 6,000 | $0.00 | 6,000 | $4.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-11-04 | No | 4 | M | Direct | |
| 10,000 | 2019-02-26 | No | 4 | M | Direct |
Footnotes
- Exercise and same day sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- Shares shall vest at a rate of 1/48th of the total number of Option Shares on each monthly anniversary of the vesting commencement date, so long as the Reporting Person remains an employee of the Company.
- Shares shall vest at a rate of 1/12th of the total number of Option Shares on each monthly anniversary of the vesting commencement date, so long as the Reporting Person remains an employee of the Company
Billionaire Hedge Funds
