SEC Form 4 · accession 0001227025-16-000182
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chiyue cheung
Officer — Chief Operating Officer
Period of report
Aug 5, 2016
Accepted (ET)
Aug 8, 2016 · 9:38 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 | Aug 5, 2016 | M | 9,000 | $3.50 | A | 9,000 | D | |
| Common Stock | Aug 5, 2016 | S | 9,000 | $13.80 | D | 0 | D | |
| Common Stock | Aug 5, 2016 | M | 6,000 | $3.50 | A | 6,000 | D | |
| Common Stock | Aug 5, 2016 | S | 6,000 | $13.80 | D | 0 | D |
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 | $3.50 | Aug 5, 2016 | M | 6,000 | D | — | Dec 12, 2020 | Common Stock | 6,000 | 6,000 | D |
| Non-Qualified Stock Option (right to buy)F1 | $3.50 | Aug 5, 2016 | M | 9,000 | D | — | Aug 1, 2021 | Common Stock | 9,000 | 9,000 | 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.