SEC Form 4 · accession 0001227025-18-000028
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Storrs Jenks
Officer — CEO · Director
Period of report
Apr 27, 2018
Accepted (ET)
May 1, 2018 · 6:19 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 | Apr 27, 2018 | M | 12,500 | $0.00 | A | 290,973 | D | |
| Common Stock | holding | — | — | — | 3,076 | I | As Trustee | |
| Common StockF1 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF2 | holding | — | — | — | 7,507 | I | by Daughter2 | |
| Common StockF3 | holding | — | — | — | 3,798 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (right to acquire)F4,F5 | $0.00 | Apr 27, 2018 | M | 12,500 | D | — | Oct 27, 2018 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1Represents shares held by the reporting person's child, Hana C. Jenks.
- F2Represents shares held by the reporting person's child, Saya J. Jenks.
- F3Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
- F4Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F550% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.