Filing Details
- Accession Number:
- 0001227025-21-000208
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-03 18:23:30
- Reporting Period:
- 2021-07-30
- Accepted Time:
- 2021-08-03 18:23:30
- 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 | 2021-07-30 | 2,667 | $0.00 | 2,667 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-07-30 | 10,000 | $0.00 | 12,667 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-08-02 | 2,667 | $9.41 | 10,000 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-08-02 | 10,000 | $9.41 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | Restricted Stock Units (right to acquire) | Disposition | 2021-07-30 | 2,667 | $9.41 | 2,667 | $0.00 |
| Common Stock | Restricted Stock Units (right to acquire) | Disposition | 2021-07-30 | 10,000 | $9.41 | 10,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,666 | 2022-07-30 | No | 4 | M | Direct | |
| 20,000 | 2023-07-30 | No | 4 | M | Direct |
Footnotes
- According to the Company's registration with the State Administration of Foreign Exchange in China, shares acquired by Chinese national employees through an award granted under the Company's 2010 EIP Plan are subject to immediate sale.
- Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- The shares vest in three equal annual installments, 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.
- 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date.
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