SEC Form 4 · accession 0001227025-18-000057
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
Jun 10, 2018
Accepted (ET)
Jun 12, 2018 · 5:11 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (right to acquire)F1,F2 | $0.00 | Jun 10, 2018 | A | 90,000 | A | — | Jun 4, 2021 | Common Stock | 90,000 | 90,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F2These restricted stock units are scheduled to vest 30% on June 4, 2019, 30% on June 4, 2020 and 40% on June 4, 2021, 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.