SEC Form 4 · accession 0001227025-15-000015
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ray Wallin
Officer — SVP, CFO
Period of report
Jun 22, 2015
Accepted (ET)
Jun 23, 2015 · 9:04 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,F2 | Jun 22, 2015 | S | 10,890 | $10.3971 | D | 30,128 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Balance includes non-reportable acquisition of 3126 shares through the Company's 2010 Employee Stock Purchase Plan.