Filing Details
- Accession Number:
- 0001227025-17-000085
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-07-27 19:32:04
- Reporting Period:
- 2017-07-26
- Filing Date:
- 2017-07-27
- Accepted Time:
- 2017-07-27 19:32:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1490217 | Lee Benjamin Sitler | 2911 Zanker Rd San Jose CA 95134 | Svp, Global Sales | 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 | 2017-07-26 | 1,400 | $3.50 | 84,711 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-07-26 | 1,400 | $8.44 | 83,311 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-07-26 | 6,000 | $3.50 | 89,311 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-07-26 | 6,000 | $8.44 | 83,311 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-07-26 | 24,000 | $3.50 | 107,311 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-07-26 | 24,000 | $8.44 | 83,311 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-07-26 | 2,000 | $3.50 | 85,311 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-07-26 | 2,000 | $8.44 | 83,311 | 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 | 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 | 2017-07-26 | 2,000 | $8.44 | 2,000 | $3.50 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-07-26 | 1,400 | $8.44 | 1,400 | $3.50 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-07-26 | 6,000 | $8.44 | 6,000 | $3.50 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-07-26 | 24,000 | $8.44 | 24,000 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-07-30 | No | 4 | M | Direct | |
| 30,000 | 2017-07-30 | No | 4 | M | Direct | |
| 24,000 | 2017-07-30 | No | 4 | M | Direct | |
| 0 | 2017-07-30 | No | 4 | M | Direct |
Footnotes
- 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.
Billionaire Hedge Funds
