SEC Form 4 · accession 0001227025-18-000015
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yang Chiah Yee
Officer — Senior VP, Global Sales
Period of report
Mar 22, 2018
Accepted (ET)
Mar 26, 2018 · 4:46 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 | $6.51 | Mar 22, 2018 | A | 83,200 | A | — | Mar 21, 2028 | Common Stock | 83,200 | 83,200 | D |
| Restricted Stock Units (right to acquire)F2,F3 | $0.00 | Mar 22, 2018 | A | 99,800 | A | — | Mar 21, 2022 | Common Stock | 99,800 | 99,800 | D |
Explanation of responses
- F1Twenty-five percent (25%) of the underlying shares shall vest on the one year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48th) of the shares shall vest each month thereafter, subject to the recipient's continued service through such date.
- F2Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F325% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date.