Filing Details

Accession Number:
0001227025-21-000246
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-08 18:24:26
Reporting Period:
2021-11-04
Accepted Time:
2021-11-08 18:24:26
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
1489294 Chiyue Cheung 3081 Zanker Rd
San Jose CA 95134
Chief Operating Officer 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 2021-11-04 30,000 $12.27 30,000 No 4 M Direct
Common Stock Disposition 2021-11-04 30,000 $15.04 0 No 4 S Direct
Common Stock Acquisiton 2021-11-04 33,000 $7.59 33,000 No 4 M Direct
Common Stock Disposition 2021-11-04 33,000 $15.04 0 No 4 S Direct
Common Stock Acquisiton 2021-11-04 29,000 $8.07 29,000 No 4 M Direct
Common Stock Disposition 2021-11-04 29,000 $15.04 0 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 2021-11-04 33,000 $15.04 33,000 $7.59
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2021-11-04 29,000 $15.04 29,000 $8.07
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2021-11-04 30,000 $15.04 30,000 $12.27
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2025-10-26 No 4 M Direct
0 2027-07-31 No 4 M Direct
0 2026-08-01 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. 50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
  3. The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries.
  4. 30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.