SEC Form 4 · accession 0001227025-17-000091
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 31, 2017
Accepted (ET)
Aug 2, 2017 · 4:51 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1 | $8.07 | Jul 31, 2017 | A | 8,512 | A | — | Jul 31, 2027 | Common Stock | 8,512 | 8,512 | D |
| Non-Qualified Stock Option (right to buy)F1 | $8.07 | Jul 31, 2017 | A | 17,018 | A | — | Jul 31, 2027 | Common Stock | 17,018 | 17,018 | D |
| Restricted Stock Units (right to acquire)F2,F3 | $0.00 | Jul 31, 2017 | A | 14,850 | A | — | Jul 31, 2020 | Common Stock | 14,850 | 14,850 | D |
Explanation of responses
- F1The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries.
- F2Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F3The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.