SEC Form 4 · accession 0001227025-17-000085
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benjamin Lee Sitler
Officer — SVP, Global Sales
Period of report
Jul 26, 2017
Accepted (ET)
Jul 27, 2017 · 7:32 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 | Jul 26, 2017 | M | 1,400 | $3.50 | A | 84,711 | D | |
| Common Stock | Jul 26, 2017 | S | 1,400 | $8.4436 | D | 83,311 | D | |
| Common Stock | Jul 26, 2017 | M | 6,000 | $3.50 | A | 89,311 | D | |
| Common Stock | Jul 26, 2017 | S | 6,000 | $8.4436 | D | 83,311 | D | |
| Common Stock | Jul 26, 2017 | M | 24,000 | $3.50 | A | 107,311 | D | |
| Common Stock | Jul 26, 2017 | S | 24,000 | $8.4436 | D | 83,311 | D | |
| Common Stock | Jul 26, 2017 | M | 2,000 | $3.50 | A | 85,311 | D | |
| Common Stock | Jul 26, 2017 | S | 2,000 | $8.4436 | D | 83,311 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1 | $3.50 | Jul 26, 2017 | M | 2,000 | D | — | Jul 30, 2017 | Common Stock | 2,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F1 | $3.50 | Jul 26, 2017 | M | 1,400 | D | — | Jul 30, 2017 | Common Stock | 1,400 | 30,000 | D |
| Non-Qualified Stock Option (right to buy)F1 | $3.50 | Jul 26, 2017 | M | 6,000 | D | — | Jul 30, 2017 | Common Stock | 6,000 | 24,000 | D |
| Non-Qualified Stock Option (right to buy)F1 | $3.50 | Jul 26, 2017 | M | 24,000 | D | — | Jul 30, 2017 | Common Stock | 24,000 | 0 | D |
Explanation of responses
- F1Exercise 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.