Filing Details

Accession Number:
0001227025-20-000124
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-06-10 16:50:03
Reporting Period:
2020-06-08
Accepted Time:
2020-06-10 16:50:03
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 3081 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 2020-06-08 2,656 $9.41 38,836 No 4 M Direct
Common Stock Disposition 2020-06-08 2,656 $10.00 36,180 No 4 S Direct
Common Stock Acquisiton 2020-06-08 2,880 $8.68 39,060 No 4 M Direct
Common Stock Disposition 2020-06-08 2,880 $10.00 36,180 No 4 S Direct
Common Stock Acquisiton 2020-06-08 3,090 $8.09 39,270 No 4 M Direct
Common Stock Disposition 2020-06-08 3,090 $10.00 36,180 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 2020-06-08 3,090 $10.00 3,090 $8.09
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2020-06-08 2,880 $10.00 2,880 $8.68
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2020-06-08 2,656 $10.00 2,656 $9.41
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-06-11 2023-06-10 No 4 M Direct
0 2016-07-14 2025-07-13 No 4 M Direct
0 2017-06-07 2026-06-06 No 4 M Direct
Footnotes
  1. 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.
  2. This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.