Filing Details
- Accession Number:
- 0001227025-20-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-01-03 18:39:42
- Reporting Period:
- 2020-01-02
- Accepted Time:
- 2020-01-03 18:39:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1227025 | Neophotonics Corp | NPTN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1209534 | J Michael Sophie | 2911 Zanker Rd San Jose CA 95134 | Yes | No | 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 | 2020-01-02 | 11,709 | $4.27 | 37,035 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-01-02 | 11,709 | $9.00 | 25,326 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-01-02 | 1,000 | $7.50 | 26,326 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-01-02 | 1,000 | $9.00 | 25,326 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-01-02 | 7,407 | $6.75 | 32,733 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-01-02 | 7,407 | $9.00 | 25,326 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2020-01-02 | 11,709 | $9.00 | 11,709 | $4.27 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2020-01-02 | 7,407 | $9.00 | 7,407 | $6.75 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2020-01-02 | 1,000 | $9.00 | 1,000 | $7.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-06-08 | 2022-06-08 | No | 4 | M | Direct |
| 0 | 2013-06-17 | 2021-06-16 | No | 4 | M | Direct |
| 0 | 2014-12-01 | 2020-12-12 | 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
