SEC Form 4 · accession 0001714866-17-000004
NEOPHOTONICS CORP · NPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth Lynne Eby
Officer — SVP, CFO
Period of report
Aug 15, 2017
Accepted (ET)
Aug 17, 2017 · 6:13 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $5.89 | Aug 15, 2017 | A | 184,500 | A | — | Aug 14, 2027 | Common Stock | 184,500 | 184,500 | D |
| Restricted Stock Units (right to acquire)F2,F3 | $0.00 | Aug 15, 2017 | A | 50,000 | A | — | Aug 14, 2018 | Common Stock | 50,000 | 50,000 | D |
| Restricted Stock Units (right to acquire)F2,F4 | $0.00 | Aug 15, 2017 | A | 123,000 | A | — | Aug 14, 2021 | Common Stock | 123,000 | 123,000 | D |
Explanation of responses
- F125% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and 1/48th of the total number of Option Shares shall vest on each monthly anniversary of the Vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
- 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.