SEC Form 4 · accession 0001227025-16-000085
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
Mar 9, 2016
Accepted (ET)
Mar 11, 2016 · 2:22 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 | 40,000 | $3.50 | A | 190,482 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F4 | $3.50 | Mar 9, 2016 | M | 40,000 | D | Jan 1, 2016 | May 15, 2017 | Common Stock | 40,000 | 125,000 | 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.
- F4Represents a cash exercise.