Filing Details

Accession Number:
0001227025-21-000254
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-12-13 16:45:37
Reporting Period:
2021-12-09
Accepted Time:
2021-12-13 16:45:37
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
1783061 Yanbing Li 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 2021-12-09 3,820 $10.17 19,803 No 4 M Direct
Common Stock Disposition 2021-12-09 3,820 $15.32 15,983 No 4 S Direct
Common Stock Acquisiton 2021-12-09 8,960 $8.56 24,943 No 4 M Direct
Common Stock Disposition 2021-12-09 8,960 $15.32 15,983 No 4 S Direct
Common Stock Acquisiton 2021-12-09 18,665 $4.37 34,648 No 4 M Direct
Common Stock Disposition 2021-12-09 18,665 $15.32 15,983 No 4 S Direct
Common Stock Disposition 2021-12-09 7,397 $15.33 8,586 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 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 2021-12-09 18,665 $0.00 18,665 $4.37
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2021-12-09 8,960 $0.00 8,960 $8.56
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2021-12-09 3,820 $0.00 3,820 $10.17
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2029-07-02 No 4 M Direct
0 2030-06-01 No 4 M Direct
3,821 2031-05-31 No 4 M Direct
Footnotes
  1. 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.