SEC Form 4 · accession 0001227025-15-000042
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
Jul 31, 2015
Accepted (ET)
Aug 4, 2015 · 5:53 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 | Jul 31, 2015 | M | 3,200 | $0.00 | A | 186,847 | D | |
| Common Stock | Jul 31, 2015 | M | 11,500 | $0.00 | A | 198,347 | D | |
| Common StockF1 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF2 | holding | — | — | — | 6,000 | I | by Daughter2 | |
| Common StockF3 | holding | — | — | — | 3,798 | I | by Trust |
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)F4,F5,F6 | $0.00 | Jul 31, 2015 | M | 3,200 | D | — | Jul 31, 2015 | Common Stock | 3,200 | 0 | D |
| Restricted Stock Units (right to acquire)F4,F5,F6 | $0.00 | Jul 31, 2015 | M | 11,500 | D | — | Jul 31, 2016 | Common Stock | 11,500 | 11,500 | D |
Explanation of responses
- F1Represents shares held in trust by the reporting person as custodian for his minor child, Hana C. Jenks.
- F2Represents shares held in trust by the reporting person as custodian for his child, Saya J. Jenks.
- F3Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declarion of Trust dated January 7, 1996.
- F4Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F5The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.
- F6Represents the vest date of the last installment of this award.