SEC Form 4 · accession 0001227025-17-000054
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
May 8, 2017
Accepted (ET)
May 9, 2017 · 7:01 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 | May 8, 2017 | M | 92,125 | $3.50 | A | 327,388 | D | |
| Common Stock | May 8, 2017 | S | 92,125 | $7.3509 | D | 235,263 | D | |
| Common Stock | holding | — | — | — | 3,076 | I | As Trustee | |
| Common StockF1 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF2 | holding | — | — | — | 7,507 | I | by Daughter2 | |
| Common StockF3 | 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)F4,F5 | $3.50 | May 8, 2017 | M | 92,125 | D | — | May 15, 2017 | Common Stock | 92,125 | 0 | D |
Explanation of responses
- F1Represents shares held by the reporting person's child, Hana C. Jenks.
- F2Represents shares held by the reporting person's child, Saya J. Jenks.
- F3Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
- F4This stock option is subjected to expiring on May 15, 2017.
- F5Exercise 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.