Filing Details
- Accession Number:
- 0001227025-19-000097
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-15 19:14:34
- Reporting Period:
- 2019-11-14
- Accepted Time:
- 2019-11-15 19:14:34
- 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 | 2019-11-14 | 11,200 | $3.50 | 106,685 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-14 | 11,200 | $8.53 | 95,485 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-14 | 4,063 | $8.54 | 91,422 | 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 |
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 | 2019-11-14 | 11,200 | $8.53 | 11,200 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-01-01 | 2020-01-26 | No | 4 | M | Direct |
Billionaire Hedge Funds
