SEC Form 4 · accession 0001227025-16-000168
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ray Wallin
Officer — SVP, CFO
Period of report
Aug 2, 2016
Accepted (ET)
Aug 3, 2016 · 9:38 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1 | $12.27 | Aug 2, 2016 | A | 8,149 | A | — | Aug 1, 2026 | Common Stock | 8,149 | 8,149 | D |
| Non-Qualified Stock Option (right to buy)F1 | $12.27 | Aug 2, 2016 | A | 21,851 | A | — | Aug 1, 2026 | Common Stock | 21,851 | 21,851 | D |
| Restricted Stock Units (right to acquire)F2,F1 | $0.00 | Aug 2, 2016 | A | 16,000 | A | — | Aug 2, 2019 | Common Stock | 16,000 | 16,000 | D |
Explanation of responses
- F130% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
- F2Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.