SEC Form 4 · accession 0001227025-15-000022
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Storrs Jenks
Officer — CEO · Director
Period of report
Jun 22, 2015
Accepted (ET)
Jun 24, 2015 · 4:38 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 | 2,272 | $10.48 | D | 178,247 | D | |
| Common StockF1 | Jun 23, 2015 | S | 2,626 | $9.65 | D | 175,621 | D | |
| Common StockF3 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF4 | holding | — | — | — | 6,000 | I | by Daughter2 | |
| Common StockF5 | holding | — | — | — | 3,798 | I | by Trust |
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.
- F3Represents shares held in trust by the reporting person as custodian for his minor child, Hana C. Jenks.
- F4Represents shares held in trust by the reporting person as custodian for his child, Saya J. Jenks.
- F5Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declarion of Trust dated January 7, 1996.