SEC Form 4 · accession 0001227025-18-000117
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
Dec 6, 2018
Accepted (ET)
Dec 10, 2018 · 7:13 pm EST
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,F2 | Dec 6, 2018 | M | 46,125 | $5.89 | A | 133,475 | 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) | $5.89 | Dec 6, 2018 | M | 46,125 | D | Aug 14, 2018 | Aug 14, 2027 | Common Stock | 46,125 | 138,375 | D |
Explanation of responses
- F1Represents a cash exercise.
- F2Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan.