Filing Details
- Accession Number:
- 0001227025-21-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-19 20:42:56
- Reporting Period:
- 2021-01-15
- Accepted Time:
- 2021-01-19 20:42:56
- 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 | 2021-01-15 | 2,343 | $4.33 | 38,523 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-15 | 2,343 | $11.00 | 36,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-15 | 5,856 | $4.33 | 42,036 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-15 | 5,856 | $11.00 | 36,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-15 | 4,686 | $4.33 | 40,866 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-15 | 4,686 | $11.00 | 36,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-15 | 1,171 | $4.33 | 37,351 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-15 | 1,171 | $11.00 | 36,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-15 | 12,486 | $6.78 | 48,666 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-15 | 12,486 | $11.00 | 36,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-15 | 7,521 | $9.20 | 43,701 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-15 | 7,521 | $11.00 | 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 | |
| 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 | 2021-01-15 | 2,343 | $11.00 | 2,343 | $4.33 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-01-15 | 5,856 | $11.00 | 5,856 | $4.33 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-01-15 | 4,686 | $11.00 | 4,686 | $4.33 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-01-15 | 1,171 | $11.00 | 1,171 | $4.33 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-01-15 | 12,486 | $11.00 | 12,486 | $6.78 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-01-15 | 7,521 | $11.00 | 7,521 | $9.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 11,713 | 2029-06-03 | No | 4 | M | Direct | |
| 5,857 | 2029-06-03 | No | 4 | M | Direct | |
| 1,171 | 2029-06-03 | No | 4 | M | Direct | |
| 0 | 2029-06-03 | No | 4 | M | Direct | |
| 0 | 2028-06-04 | No | 4 | M | Direct | |
| 0 | 2027-05-31 | 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.
- 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
