SEC Form 4 · accession 0001490217-15-000005
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
Mar 27, 2015
Accepted (ET)
Mar 31, 2015 · 4:56 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 | Mar 27, 2015 | A | 28,659 | $0.00 | A | 177,393 | D | |
| Common StockF2 | holding | — | — | — | 8,500 | I | by Daughter1 | |
| Common StockF3 | holding | — | — | — | 6,000 | I | by Daughter2 | |
| Common StockF4 | holding | — | — | — | 3,798 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each restricted stock unit represents a right to receive one share of NeoPhotonics Corporation common stock. The restricted stock units are fully-vested upon grant.
- F2Represents shares held in trust by the reporting person as custodian for his minor child, Hana C. Jenks.
- F3Represents shares held in trust by the reporting person as custodian for his child, Saya J. Jenks.
- F4Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declarion of Trust dated January 7, 1996.