Filing Details
- Accession Number:
- 0001227025-20-000110
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-08 18:28:14
- Reporting Period:
- 2020-06-04
- Accepted Time:
- 2020-06-08 18:28:14
- 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 |
---|---|---|---|---|---|---|---|
1488795 | Storrs Timothy Jenks | 3081 Zanker Rd San Jose CA 95134 | Ceo | Yes | 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 | 2020-06-04 | 27,000 | $0.00 | 405,165 | No | 4 | M | Direct | |
Common Stock | Disposition | 2020-06-08 | 25,424 | $10.25 | 379,741 | 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 | Restricted Stock Units (right to acquire) | Disposition | 2020-06-04 | 27,000 | $0.00 | 27,000 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
36,000 | 2021-06-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 3,076 | Indirect | As Trustee |
Common Stock | 3,798 | Indirect | by Trust |
Footnotes
- Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan.
- Sale 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.
- Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
- Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- These restricted stock units are scheduled to vest 30% on June 4, 2019, 30% on June 4, 2020 and 40% on June 4, 2021, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.