SEC Form 4 · accession 0001209191-17-038846
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dmitry Akhanov
Director
Period of report
Jun 7, 2017
Accepted (ET)
Jun 9, 2017 · 4:03 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 Stock | Jun 7, 2017 | M | 2,656 | $0.00 | A | 13,228 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (right to acquire)F1,F2 | $0.00 | Jun 7, 2017 | M | 2,656 | D | Jun 7, 2017 | — | Common Stock | 2,656 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of NeoPhotonics common stock.
- F2The RSUs vested on the one year anniversary of the grant date, as the Reporting Person remained a member of the Board of Directors of the Company.