Filing Details
- Accession Number:
- 0001227025-22-000050
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-05-09 16:07:01
- Reporting Period:
- 2022-05-05
- Accepted Time:
- 2022-05-09 16:07:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1489550 | Yuen Wupen | 3081 Zanker Rd San Jose CA 95134 | Vice President Global Product | 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 | 2022-05-05 | 10,000 | $3.50 | 183,897 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-05-05 | 3,750 | $15.08 | 180,147 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Incentive Stock Option (right to buy) | Disposition | 2022-05-05 | 10,000 | $0.00 | 10,000 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2022-05-05 | 2022-07-30 | No | 4 | M | Direct |
Footnotes
- Sale to cover the exercise price of the options.
Billionaire Hedge Funds
