Filing Details
- Accession Number:
- 0001227025-21-000097
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-10 13:00:00
- Reporting Period:
- 2021-05-06
- Accepted Time:
- 2021-05-10 18:04:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1714866 | Lynne Elizabeth Eby | 3081 Zanker Rd San Jose CA 95134 | Svp, Cfo | No | Yes | No | Yes |
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 | 2021-05-06 | 115,312 | $5.89 | 450,482 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-06 | 90,558 | $8.99 | 359,924 | 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 | Non-Qualified Stock Option (right to buy) | Disposition | 2021-05-06 | 115,312 | $0.00 | 115,312 | $5.89 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 23,063 | 2027-08-14 | No | 4 | M | Direct |
Footnotes
- Represents the number of shares sold by the Reporting Person to cover option cost and tax withholding obligations in connection with an exercise-and-sell-to-cover.
- Twenty-five percent (25%) of the underlying shares shall vest on the one year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48th) of the shares shall vest each month thereafter, subject to the recipient's continued service through such date.
Billionaire Hedge Funds
