SEC Form 4 · accession 0001227025-16-000133
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Abbe
Director
Period of report
Jun 7, 2016
Accepted (ET)
Jun 9, 2016 · 4:26 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $9.41 | Jun 7, 2016 | A | 2,656 | A | — | Jun 6, 2026 | Common Stock | 2,656 | 2,656 | D |
| Restricted Stock Units (right to acquire)F2 | $0.00 | Jun 7, 2016 | A | 2,656 | A | — | — | Common Stock | 2,656 | 2,656 | D |
Explanation of responses
- F1This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
- F2This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.