SEC Form 4 · accession 0001227025-15-000034
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee Sen Ting
Director
Period of report
Jul 29, 2015
Accepted (ET)
Jul 30, 2015 · 9:23 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 | Jul 29, 2015 | M | 7,692 | $0.00 | A | 10,782 | 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 | Jul 29, 2015 | M | 7,692 | D | Jul 29, 2015 | — | Common Stock | 7,692 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F2This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.