SEC Form 4 · accession 0001227025-16-000187
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Storrs Jenks
Officer — CEO · Director
Period of report
Aug 15, 2016
Accepted (ET)
Aug 16, 2016 · 7:11 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 | Aug 15, 2016 | S | 3,333 | $14.78 | D | 202,823 | D | |
| Common StockF1 | Aug 15, 2016 | S | 4,000 | $14.80 | D | 198,823 | D | |
| Common StockF2 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF3 | holding | — | — | — | 6,000 | I | by Daughter2 | |
| Common StockF4 | holding | — | — | — | 3,798 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
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.
- F2Represents shares held in trust by the reporting person as custodian for his minor child, Hana C. Jenks.
- F3Represents shares held in trust by the reporting person as custodian for his child, Saya J. Jenks.
- F4Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declarion of Trust dated January 7, 1996.