SEC Form 4 · accession 0001227025-15-000007
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chiyue cheung
Officer — Chief Operating Officer
Period of report
May 12, 2015
Accepted (ET)
May 13, 2015 · 7:03 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 | May 12, 2015 | M | 13,420 | $0.00 | A | 13,420 | 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 | May 12, 2015 | M | 13,420 | D | — | — | Common Stock | 13,420 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F2Each restricted stock unit represents a right to receive one share of NeoPhotonics Corporation common stock. The restricted stock units are fully-vested upon grant.