Filing Details
- Accession Number:
- 0001227025-21-000079
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-04-15 17:58:02
- Reporting Period:
- 2021-04-14
- Accepted Time:
- 2021-04-15 17:58:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1489294 | Chiyue Cheung | 3081 Zanker Rd San Jose CA 95134 | Chief Operating Officer | 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 | 2021-04-14 | 12,500 | $3.50 | 12,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-04-14 | 12,500 | $11.70 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-04-14 | 25,000 | $3.30 | 25,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-04-14 | 25,000 | $11.80 | 0 | 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 |
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 | 2021-04-14 | 25,000 | $11.80 | 25,000 | $3.30 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-04-14 | 12,500 | $11.70 | 12,500 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-10-08 | 2024-10-07 | No | 4 | M | Direct |
| 0 | 2017-01-01 | 2023-09-17 | 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.
Billionaire Hedge Funds
