Form4insider filings, from the source

SEC Form 4 · accession 0001183755-18-000002

NEOPHOTONICS CORP · NPTN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners
Bandel L Carano
Director · 10% Owner
Period of report
Jun 5, 2018
Accepted (ET)
Jun 7, 2018 · 1:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001227025

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Stock Option (Right to Buy)F2,F3,F4,F1$6.78Jun 5, 2018A12,486AJun 5, 2018Jun 5, 2028Common Stock12,48660,442I

Explanation of responses

Remarks

Bandel L. Carano is a Director of the Issuer. Mr. Carano is a Managing Member of Oak Associates IX, L.L.C., the General Partner of Oak IX; a Managing Member of Oak IX Affiliates, L.L.C., the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X; a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates; and a Managing Member of Oak Associates XI, L.L.C., the General Partner of Oak XI. This Form 4 is being filed by Bandel L. Carano, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI (collectively the "Reporting Persons"). Each Reporting Person disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such Reporting Person's pecuniary interest in such securities) other than any securities reported herein as being directly owned by such Reporting Person, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of any such securities for purposes of Section 16 or for any other purpose.