Filing Details

Accession Number:
0001227025-16-000095
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-04-14 20:16:36
Reporting Period:
2016-04-13
Filing Date:
2016-04-14
Accepted Time:
2016-04-14 20:16:36
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
1286373 Ray Wallin 2911 Zanker Rd
San Jose CA 95134
Svp, Cfo 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 2016-04-13 2,000 $3.30 20,500 No 4 M Direct
Common Stock Disposition 2016-04-13 2,000 $13.52 18,500 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 2016-04-13 2,000 $13.52 2,000 $3.30
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
17,472 2024-10-07 No 4 M Direct
Footnotes
  1. Exercise 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.
  2. 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and the remaining will vest quarterly over the next year, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.