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Home > Insider Trading > Filing (0001227025-16-000095)

Filing Details

Accession Number:: 0001227025-16-000095
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-04-14 20:16:36
Reporting Period:: 2016-04-13

Filing Date:: 2016-04-14
Accepted Time:: 2016-04-14 20:16:36
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
1286373	Ray Wallin	2911 Zanker Rd San Jose CA 95134	Svp, Cfo	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	2016-04-13	2,000	$3.30	20,500	No	4	M	Direct
Common Stock	Disposition	2016-04-13	2,000	$13.52	18,500	No	4	S	Direct

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Incentive Stock Option (right to buy)	Disposition	2016-04-13	2,000	$13.52	2,000	$3.30

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
17,472		2024-10-07	No	4	M	Direct

Footnotes

Exercise 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.
50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and the remaining will vest quarterly over the next year, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.