SEC Form 4 · accession 0001227025-18-000091
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth Lynne Eby
Officer — SVP, CFO · Other
Period of report
Aug 14, 2018
Accepted (ET)
Aug 15, 2018 · 6:16 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 | Aug 14, 2018 | M | 30,750 | $0.00 | A | 34,050 | D | |
| Common Stock | Aug 14, 2018 | M | 50,000 | $0.00 | A | 84,050 | D |
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)F2,F3 | $0.00 | Aug 14, 2018 | M | 50,000 | D | — | Aug 14, 2018 | Common Stock | 50,000 | 0 | D |
| Restricted Stock Units (right to acquire)F2,F4 | $0.00 | Aug 14, 2018 | M | 30,750 | D | — | Aug 14, 2021 | Common Stock | 30,750 | 92,250 | D |
Explanation of responses
- F1Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan.
- F2Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- F3100% of the underlying shares shall vest on the one-year anniversary of the Vesting Commencement Date, subject to the recipient's continued service through such date.
- F425% 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.