SEC Form 4 · accession 0001227025-15-000064
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
Oct 27, 2015
Accepted (ET)
Oct 29, 2015 · 4:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001227025
Table I — non-derivative securities
No Table I lines on this filing.
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 | $7.59 | Oct 27, 2015 | A | 26,349 | A | — | Oct 26, 2025 | Common Stock | 26,349 | 26,349 | D |
| Non-Qualified Stock Option (right to buy)F1 | $7.59 | Oct 27, 2015 | A | 48,651 | A | — | Oct 26, 2025 | Common Stock | 48,651 | 48,651 | D |
| Restricted Stock Units (right to acquire)F2,F1 | $0.00 | Oct 27, 2015 | A | 50,000 | A | — | — | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F150% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
- F2Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.