Filing Details
- Accession Number:
- 0001227025-21-000254
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-12-13 16:45:37
- Reporting Period:
- 2021-12-09
- Accepted Time:
- 2021-12-13 16:45:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1783061 | Yanbing Li | 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 | 2021-12-09 | 3,820 | $10.17 | 19,803 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-12-09 | 3,820 | $15.32 | 15,983 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-12-09 | 8,960 | $8.56 | 24,943 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-12-09 | 8,960 | $15.32 | 15,983 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-12-09 | 18,665 | $4.37 | 34,648 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-12-09 | 18,665 | $15.32 | 15,983 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-12-09 | 7,397 | $15.33 | 8,586 | 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 | 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 | 2021-12-09 | 18,665 | $0.00 | 18,665 | $4.37 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-12-09 | 8,960 | $0.00 | 8,960 | $8.56 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2021-12-09 | 3,820 | $0.00 | 3,820 | $10.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2029-07-02 | No | 4 | M | Direct | |
| 0 | 2030-06-01 | No | 4 | M | Direct | |
| 3,821 | 2031-05-31 | No | 4 | M | Direct |
Footnotes
- 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
