SEC Form 4 · accession 0001227025-16-000116
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 27, 2016
Accepted (ET)
Apr 28, 2016 · 9:49 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 | Apr 27, 2016 | M | 6,672 | $3.30 | A | 25,172 | D | |
| Common Stock | Apr 27, 2016 | S | 6,672 | $13.5168 | 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)F1 | $3.30 | Apr 27, 2016 | M | 6,672 | D | Apr 27, 2016 | Oct 7, 2024 | Common Stock | 6,672 | 10,800 | D |
Explanation of responses
- F1Exercise 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.