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Home > Insider Trading > Filing (0001227025-21-000248)

Filing Details

Accession Number:: 0001227025-21-000248
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-08 18:30:25
Reporting Period:: 2021-11-04

Accepted Time:: 2021-11-08 18:30:25
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

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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	5,228	$8.56	29,050	No	4	M	Direct
Common Stock	Disposition	2021-11-04	5,228	$15.04	23,822	No	4	S	Direct
Common Stock	Disposition	2021-11-04	12,160	$15.04	11,662	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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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	5,228	$15.04	5,228	$8.56

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,732		2030-06-01	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.
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.