SEC Form 4 · accession 0001227025-16-000220
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
Dec 1, 2016
Accepted (ET)
Dec 5, 2016 · 5:43 pm EST
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 | Dec 1, 2016 | G | 1,507 | $0.00 | D | 174,150 | D | |
| Common StockF2 | Dec 1, 2016 | G | 1,507 | $0.00 | A | 7,507 | I | by Daughter2 |
| Common StockF3 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF4 | holding | — | — | — | 3,798 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved a gift of securities by the reporting person to his daughter, who shares reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his daughter, and this report should not be deemed an admission that the reporting person in the beneficial owner of his daughter's shares for purposes of Section 16 or for any other purpose.
- F2Represents shares held in trust by the reporting person as custodian for his child, Saya J. Jenks.
- F3Represents shares held in trust by the reporting person as custodian for his minor child, Hana C. Jenks.
- F4Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declarion of Trust dated January 7, 1996.