SEC Form 4 · accession 0001227025-16-000092
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ray Wallin
Officer — SVP, CFO
Period of report
Apr 11, 2016
Accepted (ET)
Apr 13, 2016 · 4:02 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 StockF1 | Apr 11, 2016 | S | 2,785 | $13.9211 | D | 24,051 | D | |
| Common Stock | Apr 11, 2016 | M | 3,028 | $3.30 | A | 27,079 | D | |
| Common Stock | Apr 11, 2016 | S | 3,028 | $13.9242 | D | 24,051 | D | |
| Common Stock | Apr 11, 2016 | M | 2,969 | $3.30 | A | 27,020 | D | |
| Common Stock | Apr 11, 2016 | S | 2,969 | $13.9227 | D | 24,051 | D | |
| Common StockF1 | Apr 12, 2016 | S | 5,551 | $13.0787 | D | 18,500 | D | |
| Common Stock | Apr 12, 2016 | M | 300 | $3.30 | A | 18,800 | D | |
| Common Stock | Apr 12, 2016 | S | 300 | $13.64 | D | 18,500 | D | |
| Common Stock | Apr 12, 2016 | M | 3,031 | $3.30 | A | 21,531 | D | |
| Common Stock | Apr 12, 2016 | S | 3,031 | $13.189 | D | 18,500 | D |
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)F2,F3 | $3.30 | Apr 11, 2016 | M | 3,028 | D | — | Oct 7, 2024 | Common Stock | 3,028 | 25,772 | D |
| Incentive Stock Option (right to buy)F2,F3 | $3.30 | Apr 11, 2016 | M | 2,969 | D | — | Oct 7, 2024 | Common Stock | 2,969 | 22,803 | D |
| Incentive Stock Option (right to buy)F2,F3 | $3.30 | Apr 12, 2016 | M | 300 | D | — | Oct 7, 2024 | Common Stock | 300 | 22,503 | D |
| Incentive Stock Option (right to buy)F2,F3 | $3.30 | Apr 12, 2016 | M | 3,031 | D | — | Oct 7, 2024 | Common Stock | 3,031 | 19,472 | D |
Explanation of responses
- F1Sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Exercise pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F350% 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.