SEC Form 4 · accession 0001227025-16-000191
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yuen Wupen
Officer — VICE PRESIDENT GLOBAL PRODUCT
Period of report
Aug 16, 2016
Accepted (ET)
Aug 17, 2016 · 6:50 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 16, 2016 | S | 1,373 | $15.00 | D | 36,664 | D | |
| Common StockF1 | Aug 16, 2016 | S | 1,373 | $15.00 | D | 35,291 | D | |
| Common StockF1 | Aug 16, 2016 | S | 9,983 | $15.00 | D | 25,308 | D |
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.