SEC Form 4 · accession 0001209191-18-036326
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dmitry Akhanov
Director
Period of report
Jun 5, 2018
Accepted (ET)
Jun 7, 2018 · 4:07 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $6.78 | Jun 5, 2018 | A | 12,486 | A | Jul 5, 2018 | Jun 4, 2028 | Common Stock | 12,486 | 12,486 | D |
| Restricted Stock Units (right to acquire)F2,F3 | $0.00 | Jun 5, 2018 | A | 6,932 | A | Jun 5, 2019 | — | Common Stock | 6,932 | 6,932 | D |
Explanation of responses
- F1This option shall vest 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 NeoPhotonics Corporation (the "Company").
- F2Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of NeoPhotonics common stock.
- F3The RSUs shall vest on the one year anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.