SEC Form 4 · accession 0001227025-17-000081
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Abbe
Director
Period of report
Jul 17, 2017
Accepted (ET)
Jul 18, 2017 · 5:13 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 | Jul 17, 2017 | M | 10,000 | $5.74 | A | 72,087 | D | |
| Common StockF1 | Jul 17, 2017 | M | 1,923 | $3.25 | A | 74,010 | D |
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)F2 | $3.25 | Jul 17, 2017 | M | 1,923 | D | Jul 29, 2015 | Jul 28, 2024 | Common Stock | 1,923 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.74 | Jul 17, 2017 | M | 10,000 | D | Oct 2, 2016 | Oct 2, 2022 | Common Stock | 10,000 | 7,421 | D |
Explanation of responses
- F1Represents a cash exercise.
- F2This 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.
- F3The shares subject to the option will vest in forty-eight (48) equal monthly installments from the grant date, such that the option is fully vested on the fourth anniversary of the date of the grant, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2010 Equity Incentive Plan).