SEC Form 4 · accession 0001227025-15-000011
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yuen Wupen
Officer — VICE PRESIDENT GLOBAL PRODUCT
Period of report
May 15, 2015
Accepted (ET)
May 18, 2015 · 8:53 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 15, 2015 | M | 600 | $3.75 | A | 41,359 | D | |
| Common Stock | May 15, 2015 | S | 600 | $7.1868 | D | 40,759 | D | |
| Common StockF1 | May 15, 2015 | S | 9,627 | $7.1346 | D | 34,258 | D | |
| Common Stock | May 15, 2015 | S | 7,491 | $7.1545 | D | 26,767 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2 | $3.75 | May 15, 2015 | M | 600 | D | — | May 16, 2015 | Common Stock | 600 | 0 | D |
Explanation of responses
- F1Balance includes non-reportable acquisition of 3126 shares through the Company's 2010 Employee Stock Purchase Plan.
- F2100% of the shares subject to the option are vested and exercisable.