Filing Details
- Accession Number:
- 0001227025-20-000124
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-10 16:50:03
- Reporting Period:
- 2020-06-08
- Accepted Time:
- 2020-06-10 16:50:03
- 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 | 3081 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 | 2020-06-08 | 2,656 | $9.41 | 38,836 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-08 | 2,656 | $10.00 | 36,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-06-08 | 2,880 | $8.68 | 39,060 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-08 | 2,880 | $10.00 | 36,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-06-08 | 3,090 | $8.09 | 39,270 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-08 | 3,090 | $10.00 | 36,180 | 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 | |
| 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 | 2020-06-08 | 3,090 | $10.00 | 3,090 | $8.09 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2020-06-08 | 2,880 | $10.00 | 2,880 | $8.68 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2020-06-08 | 2,656 | $10.00 | 2,656 | $9.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-06-11 | 2023-06-10 | No | 4 | M | Direct |
| 0 | 2016-07-14 | 2025-07-13 | No | 4 | M | Direct |
| 0 | 2017-06-07 | 2026-06-06 | No | 4 | M | Direct |
Footnotes
- 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.
- 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.
Billionaire Hedge Funds
