Filing Details
- Accession Number:
- 0001227025-16-000083
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-03-10 19:42:32
- Reporting Period:
- 2016-03-09
- Filing Date:
- 2016-03-10
- Accepted Time:
- 2016-03-10 19:42:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1227025 | Neophotonics Corp | NPTN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1209534 | J Michael Sophie | 2911 Zanker Rd San Jose CA 95134 | Yes | No | 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 | 2016-03-09 | 7,692 | $3.25 | 16,474 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-09 | 7,692 | $11.06 | 8,782 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-03-09 | 4,000 | $4.25 | 12,782 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-09 | 4,000 | $11.06 | 8,782 | 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 | Non-Qualified Stock Option (right to buy) | Disposition | 2016-03-09 | 7,692 | $11.06 | 7,692 | $3.25 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2016-03-09 | 4,000 | $11.06 | 4,000 | $4.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-07-28 | No | 4 | M | Direct | |
| 0 | 2017-05-15 | No | 4 | M | Direct |
Footnotes
- This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
- 25% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date (12/10/2006), and 1/48th of the total number of Optoin Shares shall vest on each monthly anniversary of the Vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. This grant is early exercisable.
Billionaire Hedge Funds
