SEC Form 4 · accession 0001227025-17-000022
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
Mar 23, 2017
Accepted (ET)
Mar 27, 2017 · 5:39 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 | Mar 23, 2017 | M | 10,000 | $4.25 | A | 210,263 | D | |
| Common Stock | holding | — | — | — | 3,076 | I | As Trustee | |
| Common StockF2 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF3 | holding | — | — | — | 7,507 | I | by Daughter2 | |
| Common StockF4 | holding | — | — | — | 3,798 | I | by Trust |
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) | $4.25 | Mar 23, 2017 | M | 10,000 | D | Aug 1, 2012 | Nov 4, 2018 | Common Stock | 10,000 | 17,757 | D |
Explanation of responses
- F1Represents a cash exercise.
- F2Represents shares held by the reporting person's child, Hana C. Jenks.
- F3Represents shares held by the reporting person's child, Saya J. Jenks.
- F4Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.