SEC Form 4 · accession 0001490284-15-000002
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan Chung-Yuen Kwan
Director
Period of report
Jul 14, 2015
Accepted (ET)
Aug 5, 2015 · 4:39 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 UnitsF3,F1,F2 | — | Jul 14, 2015 | A | 2,880 | A | Jul 14, 2015 | Jul 13, 2025 | Common Stock | 2,880 | 13,662 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one share of common stock upon vesting of the unit.
- F2This restricted stock unit shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Director of the Issuer.
- F3Not applicable - This restricted stock unit was issued pursuant to the 2010 Equity Incentive Plan and in accordance with the the Issuer's Non-Employee Director Compensation Policy.