Filing Details
- Accession Number:
- 0001227025-21-000246
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-08 18:24:26
- Reporting Period:
- 2021-11-04
- Accepted Time:
- 2021-11-08 18:24:26
- 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 | 2021-11-04 | 30,000 | $12.27 | 30,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-04 | 30,000 | $15.04 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-11-04 | 33,000 | $7.59 | 33,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-04 | 33,000 | $15.04 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-11-04 | 29,000 | $8.07 | 29,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-04 | 29,000 | $15.04 | 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 | |
| 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 | 2021-11-04 | 33,000 | $15.04 | 33,000 | $7.59 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-11-04 | 29,000 | $15.04 | 29,000 | $8.07 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-11-04 | 30,000 | $15.04 | 30,000 | $12.27 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2025-10-26 | No | 4 | M | Direct | |
| 0 | 2027-07-31 | No | 4 | M | Direct | |
| 0 | 2026-08-01 | 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.
- 50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
- 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.
- 30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
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