SEC Form 4 · accession 0001227025-15-000026
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
Jun 29, 2015
Accepted (ET)
Jun 30, 2015 · 6:47 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 29, 2015 | M | 3,400 | $3.50 | A | 30,167 | 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)F1 | $3.50 | Jun 29, 2015 | M | 3,400 | D | — | Jul 6, 2015 | Common Stock | 3,400 | 0 | D |
Explanation of responses
- F1100% of the shares subject to the option vested on May 7, 2015.
- F2Represents a cash exercise.