SEC Form 4 · accession 0001227025-18-000036
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yuen Wupen
Officer — VICE PRESIDENT GLOBAL PRODUCT
Period of report
May 14, 2018
Accepted (ET)
May 15, 2018 · 9:15 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 | May 14, 2018 | M | 403 | $3.50 | A | 47,129 | 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) | $3.50 | May 14, 2018 | M | 403 | D | Jan 1, 2017 | May 14, 2018 | Common Stock | 403 | 0 | D |
Explanation of responses
- F1Represents a cash exercise.