SEC Form 4 · accession 0001209191-17-035307
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Rusnano
10% Owner
Period of report
May 23, 2017
Accepted (ET)
May 25, 2017 · 4:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001227025
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 23, 2017 | S | 88,500 | $9.10 | D | 4,884,405 | D | |
| Common StockF2 | May 24, 2017 | S | 4,400 | $9.0705 | A | 4,880,005 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale price represents the weighted average sale price of the shares sold ranging from $9.07 to $9.16 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F2This sale price represents the weighted average sale price of the shares sold ranging from $9.07 to $9.08 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.