SEC Form 4 · accession 0001227025-18-000109
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Sophie
Director
Period of report
Nov 1, 2018
Accepted (ET)
Nov 2, 2018 · 8:24 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 | Nov 1, 2018 | M | 1,000 | $4.25 | A | 19,394 | D | |
| Common Stock | Nov 1, 2018 | S | 1,000 | $8.05 | D | 18,394 | 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)F1 | $4.25 | Nov 1, 2018 | M | 1,000 | D | Nov 1, 2012 | Nov 4, 2018 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1Exercise and Sale of an expiring stock option pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.