SEC Form 4 · accession 0001227025-16-000082
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chiyue cheung
Officer — Chief Operating Officer
Period of report
Mar 9, 2016
Accepted (ET)
Mar 10, 2016 · 7:42 pm EST
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 | Mar 9, 2016 | M | 25,000 | $3.30 | A | 25,000 | D | |
| Common Stock | Mar 9, 2016 | S | 25,000 | $11.0779 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $3.30 | Mar 9, 2016 | M | 25,000 | D | — | Oct 7, 2024 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F150% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and the remaining will vest quarterly over the next year, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.