4//SEC Filing
DRAPER FISHER PARTNERS LLC 4
Accession 0001181431-11-008199
CIK 0001227025other
Filed
Feb 7, 7:00 PM ET
Accepted
Feb 8, 3:30 PM ET
Size
32.4 KB
Accession
0001181431-11-008199
Insider Transaction Report
Form 4
DRAPER FISHER PARTNERS LLC
10% Owner
Transactions
- Conversion
Common Stock
2011-02-07+494,560→ 1,714,042 total(indirect: See Footnotes) - Conversion
Series 3 Preferred Stock
2011-02-07−496,210→ 0 total(indirect: See Footnotes)→ Common Stock (496,210 underlying) - Conversion
Common Stock
2011-02-07+425,408→ 565,887 total(indirect: See Footnotes) - Conversion
Series 1 Preferred Stock
2011-02-07−425,408→ 0 total(indirect: See Footnotes)→ Common Stock (425,408 underlying) - Conversion
Series 2 Preferred Stock
2011-02-07−157,385→ 0 total(indirect: See Footnotes)→ Common Stock (157,385 underlying) - Conversion
Series X Preferred Stock
2011-02-07−1,236.4→ 0 total(indirect: See Footnotes)→ Common Stock (494,560 underlying) - Conversion
Common Stock
2011-02-07+157,385→ 723,272 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+496,210→ 1,219,482 total(indirect: See Footnotes)
Draper GC Partners, LLC
10% Owner
Transactions
- Conversion
Series 3 Preferred Stock
2011-02-07−496,210→ 0 total(indirect: See Footnotes)→ Common Stock (496,210 underlying) - Conversion
Common Stock
2011-02-07+157,385→ 723,272 total(indirect: See Footnotes) - Conversion
Series 1 Preferred Stock
2011-02-07−425,408→ 0 total(indirect: See Footnotes)→ Common Stock (425,408 underlying) - Conversion
Series 2 Preferred Stock
2011-02-07−157,385→ 0 total(indirect: See Footnotes)→ Common Stock (157,385 underlying) - Conversion
Common Stock
2011-02-07+494,560→ 1,714,042 total(indirect: See Footnotes) - Conversion
Series X Preferred Stock
2011-02-07−1,236.4→ 0 total(indirect: See Footnotes)→ Common Stock (494,560 underlying) - Conversion
Common Stock
2011-02-07+425,408→ 565,887 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+496,210→ 1,219,482 total(indirect: See Footnotes)
Transactions
- Conversion
Common Stock
2011-02-07+157,385→ 723,272 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+494,560→ 1,714,042 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+425,408→ 565,887 total(indirect: See Footnotes) - Conversion
Series X Preferred Stock
2011-02-07−1,236.4→ 0 total(indirect: See Footnotes)→ Common Stock (494,560 underlying) - Conversion
Common Stock
2011-02-07+496,210→ 1,219,482 total(indirect: See Footnotes) - Conversion
Series 2 Preferred Stock
2011-02-07−157,385→ 0 total(indirect: See Footnotes)→ Common Stock (157,385 underlying) - Conversion
Series 3 Preferred Stock
2011-02-07−496,210→ 0 total(indirect: See Footnotes)→ Common Stock (496,210 underlying) - Conversion
Series 1 Preferred Stock
2011-02-07−425,408→ 0 total(indirect: See Footnotes)→ Common Stock (425,408 underlying)
DRAPER ASSOCIATES L P
10% Owner
Transactions
- Conversion
Common Stock
2011-02-07+425,408→ 565,887 total(indirect: See Footnotes) - Conversion
Series 1 Preferred Stock
2011-02-07−425,408→ 0 total(indirect: See Footnotes)→ Common Stock (425,408 underlying) - Conversion
Common Stock
2011-02-07+496,210→ 1,219,482 total(indirect: See Footnotes) - Conversion
Series 2 Preferred Stock
2011-02-07−157,385→ 0 total(indirect: See Footnotes)→ Common Stock (157,385 underlying) - Conversion
Series 3 Preferred Stock
2011-02-07−496,210→ 0 total(indirect: See Footnotes)→ Common Stock (496,210 underlying) - Conversion
Series X Preferred Stock
2011-02-07−1,236.4→ 0 total(indirect: See Footnotes)→ Common Stock (494,560 underlying) - Conversion
Common Stock
2011-02-07+157,385→ 723,272 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+494,560→ 1,714,042 total(indirect: See Footnotes)
Transactions
- Conversion
Common Stock
2011-02-07+494,560→ 1,714,042 total(indirect: See Footnotes) - Conversion
Series 2 Preferred Stock
2011-02-07−157,385→ 0 total(indirect: See Footnotes)→ Common Stock (157,385 underlying) - Conversion
Series X Preferred Stock
2011-02-07−1,236.4→ 0 total(indirect: See Footnotes)→ Common Stock (494,560 underlying) - Conversion
Common Stock
2011-02-07+157,385→ 723,272 total(indirect: See Footnotes) - Conversion
Series 3 Preferred Stock
2011-02-07−496,210→ 0 total(indirect: See Footnotes)→ Common Stock (496,210 underlying) - Conversion
Common Stock
2011-02-07+496,210→ 1,219,482 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+425,408→ 565,887 total(indirect: See Footnotes) - Conversion
Series 1 Preferred Stock
2011-02-07−425,408→ 0 total(indirect: See Footnotes)→ Common Stock (425,408 underlying)
Transactions
- Conversion
Series 1 Preferred Stock
2011-02-07−425,408→ 0 total(indirect: See Footnotes)→ Common Stock (425,408 underlying) - Conversion
Common Stock
2011-02-07+425,408→ 565,887 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+496,210→ 1,219,482 total(indirect: See Footnotes) - Conversion
Series 3 Preferred Stock
2011-02-07−496,210→ 0 total(indirect: See Footnotes)→ Common Stock (496,210 underlying) - Conversion
Series X Preferred Stock
2011-02-07−1,236.4→ 0 total(indirect: See Footnotes)→ Common Stock (494,560 underlying) - Conversion
Common Stock
2011-02-07+157,385→ 723,272 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+494,560→ 1,714,042 total(indirect: See Footnotes) - Conversion
Series 2 Preferred Stock
2011-02-07−157,385→ 0 total(indirect: See Footnotes)→ Common Stock (157,385 underlying)
Footnotes (11)
- [F1]Timothy C. Draper, John H.N. Fisher and Steven T. Jurvetson are Managing Directors of the general partner entities of Draper Fisher Jurvetson Fund VII, L.P. and also Managing Members of Draper Fisher Jurvetson Partners VII, LLC, that directly hold shares and as such, they may be deemed to have voting and investment power with respect to such shares. Timothy C. Draper, John H.N. Fisher and Steven T. Jurvetson are Managing Directors of the general partner entities of Draper Fisher Associates III Annex Fund, L.P., that directly holds shares and as such, they may be deemed to have voting and investment power with respect to such shares. (Continued in footnote 2)
- [F10]Each share of Issuer's Series 3 Preferred Stock automatically converted into one share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering and had no expiration date.
- [F11]Each share of Issuer's Series X Preferred Stock automatically converted into 400 shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering and had no expiration date.
- [F2]The investing and voting power of the shares held by Draper Associates, L.P. is controlled by its General Partner, Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Timothy C. Draper and John H.N. Fisher are Managing Members of Draper Fisher Partners, LLC, that directly holds shares and as such, they may be deemed to have voting and investment power with respect to such shares. (Continued in footnote 3)
- [F3]Timothy C. Draper is the Managing Member of Draper GC Partners LLC, that directly holds shares and as such, they may be deemed to have voting and investment power with respect to such shares. These individuals disclaims beneficial ownership with respect to such shares except to the extent of their pecuniary interest therein. In addition, Issuer shares are held by individuals and trusts affiliated with Draper Fisher Jurvetson. The general partners of the limited partnerships holding shares of the Issuer disclaim beneficial ownership of the shares held by the limited partnerships except to the extent of their pecuniary interest therein.
- [F4]Includes 386,133 shares held by Draper Fisher Jurvetson Fund VII, L.P., 17,166 shares held by Draper Fisher Associates III Annex Fund, L.P., 10,400 shares held by Draper Associates, L.P., 5,631 shares held by Draper Fisher Jurvetson Partners VII, LLC, 1,115 shares held by Draper Fisher Partners, LLC, 57 shares held by Draper GC Partners, LLC and 4,906 shares held by individuals and trusts affiliated with Draper Fisher Jurvetson.
- [F5]Includes 134,812 shares held by Draper Fisher Jurvetson Fund VII, L.P., 14,298 shares held by Draper Fisher Associates III Annex Fund, L.P., 3,651 shares held by Draper Associates, L.P., 1,966 shares held by Draper Fisher Jurvetson Partners VII, LLC, 928 shares held by Draper Fisher Partners, LLC, 20 shares held by Draper GC Partners, LLC and 1,710 shares held by individuals and trusts affiliated with Draper Fisher Jurvetson.
- [F6]Includes 458,079 shares held by Draper Fisher Jurvetson Fund VII, L.P., 12,641 shares held by Draper Fisher Associates III Annex Fund, L.P., 12,406 shares held by Draper Associates, L.P., 6,680 shares held by Draper Fisher Jurvetson Partners VII, LLC, 821 shares held by Draper Fisher Partners, LLC and 5,583 shares held by individuals and trusts affiliated with Draper Fisher Jurvetson.
- [F7]Includes 467,856 shares of common stock issuable upon conversion of Series X Preferred Stock held by Draper Fisher Jurvetson Fund VII, L.P., 12,640 shares of common stock issuable upon conversion of Series X Preferred Stock held by Draper Associates, L.P., 6,816 shares of common stock issuable upon conversion of Series X Preferred Stock held by Draper Fisher Jurvetson Partners VII, LLC, 1,376 shares of common stock issuable upon conversion of Series X Preferred Stock held by Draper Fisher Partners, LLC, 32 shares of common stock issuable upon conversion of Series X Preferred Stock held by Draper GC Partners, LLC and 5,840 shares of common stock issuable upon conversion of Series X Preferred Stock held by individuals and trusts affiliated with Draper Fisher Jurvetson.
- [F8]Each share of Issuer's Series 1 Preferred Stock automatically converted into one share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering and had no expiration date.
- [F9]Each share of Issuer's Series 2 Preferred Stock automatically converted into one share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering and had no expiration date.
Documents
Issuer
NEOPHOTONICS CORP
CIK 0001227025
Entity typeother
Related Parties
1- filerCIK 0000949701
Filing Metadata
- Form type
- 4
- Filed
- Feb 7, 7:00 PM ET
- Accepted
- Feb 8, 3:30 PM ET
- Size
- 32.4 KB