Filing Details

Accession Number:
0001183755-15-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-05-27 16:31:05
Reporting Period:
2015-05-27
Filing Date:
2015-05-27
Accepted Time:
2015-05-27 16:31:05
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
1095761 P L Ix Partners Investment Oak 901 Main Avenue
Suite 600
Norwalk CT 06851
No No Yes No
1112125 Oak Ix Affiliates Fund A Lp 901 Main Avenue
Suite 600
Norwalk CT 06851
No No Yes No
1112201 Oak Ix Affiliates Fund Lp 901 Main Avenue
Suite 600
Norwalk CT 06851
No No Yes No
1131676 Partnership Ltd X Partners Investment Oak 901 Main Avenue
Suite 600
Norwalk CT 06851
No No Yes No
1143824 Oak X Affiliates Fund Lp 901 Main Avenue
Suite 600
Norwalk CT 06851
No No Yes No
1183755 L Bandel Carano C/O Oak Investment Partners
901 Main Avenue, Suite 600
Norwalk CT 06851
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Public Offering Of Common Stock Acquisiton 2015-05-27 275,862 $7.25 5,470,780 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Footnotes
  1. Includes purchase of 271,503 shares of Public offering of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); purchase of 4,359 shares of Public offering of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates.