Filing Details
- Accession Number:
- 0001227025-16-000195
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-19 14:30:04
- Reporting Period:
- 2016-08-18
- Filing Date:
- 2016-08-19
- Accepted Time:
- 2016-08-19 14:30:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1488795 | Storrs Timothy Jenks | 2911 Zanker Rd San Jose CA 95134 | Ceo | Yes | 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 | Disposition | 2016-08-18 | 5,666 | $15.06 | 193,157 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-18 | 4,000 | $15.08 | 189,157 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-18 | 4,000 | $15.04 | 185,157 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-18 | 4,000 | $15.02 | 181,157 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-18 | 5,000 | $15.01 | 176,157 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,500 | Indirect | by Daughter1 |
| Common Stock | 6,000 | Indirect | by Daughter2 |
| Common Stock | 3,798 | Indirect | by Trust |
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.
- Represents shares held in trust by the reporting person as custodian for his minor child, Hana C. Jenks.
- Represents shares held in trust by the reporting person as custodian for his child, Saya J. Jenks.
- Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declarion of Trust dated January 7, 1996.
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