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Home > Insider Trading > Filing (0001227025-15-000011)

Filing Details

Accession Number:: 0001227025-15-000011
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-05-18 20:53:00
Reporting Period:: 2015-05-15

Filing Date:: 2015-05-18
Accepted Time:: 2015-05-18 20:53:00
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1227025	Neophotonics Corp	NPTN	Semiconductors & Related Devices (3674)	943253730

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1489550	Yuen Wupen	2911 Zanker Rd San Jose CA 95134	Vice President Global Product	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-05-15	600	$3.75	41,359	No	4	M	Direct
Common Stock	Disposition	2015-05-15	600	$7.19	40,759	No	4	S	Direct
Common Stock	Disposition	2015-05-15	9,627	$7.13	34,258	No	4	S	Direct
Common Stock	Disposition	2015-05-15	7,491	$7.15	26,767	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Incentive Stock Option (right to buy)	Disposition	2015-05-15	600	$0.00	600	$3.75

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2015-05-16	No	4	M	Direct

Footnotes

Balance includes non-reportable acquisition of 3126 shares through the Company's 2010 Employee Stock Purchase Plan.
100% of the shares subject to the option are vested and exercisable.