4//SEC Filing
Peng Yat Bun 4
Accession 0001181431-11-008203
CIK 0001227025other
Filed
Feb 7, 7:00 PM ET
Accepted
Feb 8, 3:34 PM ET
Size
16.9 KB
Accession
0001181431-11-008203
Insider Transaction Report
Form 4
Peng Yat Bun
Director
Transactions
- Conversion
Common Stock
2011-02-07+206,864→ 661,456 total(indirect: See Footnotes) - Conversion
Series X Preferred Stock
2011-02-07−517.16→ 0 total(indirect: See Footnotes)→ Common Stock (206,864 underlying) - Conversion
Series 2 Preferred Stock
2011-02-07−189,188→ 0 total(indirect: See Footnotes)→ Common Stock (189,188 underlying) - Conversion
Common Stock
2011-02-07+189,188→ 850,644 total(indirect: See Footnotes)
Footnotes (5)
- [F1]The Reporting Person is a member of the Issuer's board of directors as designee of Concord Investments Company Ltd. and its affiliates. Concord Investments Co. Ltd. owns 100% of the shares of Nison Limited and Wellway International Limited and 55% of the shares of Creative China Investment Limited. The Reporting Person is a director of each of Nison Limited, Wellway International Limited and Creative China Investment Limited and may be deemed to have voting and investment power with respect to these shares. The Reporting Person disclaims ownership of these shares except to the extent of his proportionate pecuniary interest therein.
- [F2]Represents 206,864 shares of Common Stock issuable upon conversion of Series X Preferred Stock held by Nison Limited.
- [F3]Includes 122,254 shares held by Nison Limited, 47,036 shares held by Wellway International Limited and 19,898 shares held by Creative China Investment Limited.
- [F4]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.
- [F5]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.
Issuer
NEOPHOTONICS CORP
CIK 0001227025
Entity typeother
Related Parties
1- filerCIK 0001489559
Filing Metadata
- Form type
- 4
- Filed
- Feb 7, 7:00 PM ET
- Accepted
- Feb 8, 3:34 PM ET
- Size
- 16.9 KB