Filing Details
- Accession Number:
- 0001227025-17-000059
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-16 17:00:10
- Reporting Period:
- 2017-05-12
- Filing Date:
- 2017-05-16
- Accepted Time:
- 2017-05-16 17:00:10
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-05-12 | 22,000 | $3.50 | 51,743 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-12 | 22,000 | $8.41 | 29,743 | 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
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-05-12 | 22,000 | $8.41 | 22,000 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-01-01 | 2017-05-15 | No | 4 | M | Direct |
Footnotes
- This stock option is subjected to expiring on May 15, 2017.
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