SEC Form 4 · accession 0001227025-17-000065
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ihab Saad Tarazi
Director
Period of report
Jun 1, 2017
Accepted (ET)
Jun 2, 2017 · 7:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001227025
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $9.20 | Jun 1, 2017 | A | 7,521 | A | — | May 31, 2027 | Common Stock | 7,521 | 7,521 | D |
| Restricted Stock Units (right to acquire)F2 | $0.00 | Jun 1, 2017 | A | 4,076 | A | — | — | Common Stock | 4,076 | 4,076 | D |
Explanation of responses
- F1This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
- F2This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.