NEOPHOTONICS CORP 4
4 · NEOPHOTONICS CORP · Filed Feb 8, 2011
Insider Transaction Report
Form 4
THOMAS T PETER
Director
Transactions
- Conversion
Series 1 Preferred Stock
2011-02-07−329,101→ 0 total(indirect: See Footnotes)→ Common Stock (329,101 underlying) - Conversion
Common Stock
2011-02-07+105,302→ 539,966 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+75,360→ 765,325 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+329,101→ 434,664 total(indirect: See Footnotes) - Conversion
Common Stock
2011-02-07+149,999→ 689,965 total(indirect: See Footnotes) - Conversion
Series 2 Preferred Stock
2011-02-07−105,302→ 0 total(indirect: See Footnotes)→ Common Stock (105,302 underlying) - Conversion
Series 3 Preferred Stock
2011-02-07−149,999→ 0 total(indirect: See Footnotes)→ Common Stock (149,999 underlying) - Conversion
Series X Preferred Stock
2011-02-07−188.4→ 0 total(indirect: See Footnotes)→ Common Stock (75,360 underlying)
Footnotes (9)
- [F1]The Reporting Person is a member of the Issuer's board of directors. The Reporting Person is a Managing Director of ATA Management I, LLC, the General Partner of ATA Ventures I, L.P., ATA Affiliates Fund I, L.P. and ATA Investment Fund I, L.P., and as such, may be deemed to have beneficial ownership with respect to the shares held by the ATA entities. The Reporting Person is a General Partner of Institutional Venture Management VII, L.P., the General Partner of Institutional Ventures Partners VII, L.P., and is a General Partner of Institutional Venture Management VI, L.P., the General Partner of IVP Founders Fund I, L.P., and as such, may be deemed to have beneficial ownership with respect to the shares held by the IVP entities. The Reporting Person disclaims beneficial ownership of all the shares referenced above except to the extent of his proportionate pecuniary interests therein.
- [F2]Includes 244,032 shares held by ATA Ventures I, L.P., 9,239 shares held by ATA Affiliates Fund I, L.P. and 2,323 shares held by ATA Investment Fund I L.P. Also includes 72,037 shares held by Institutional Venture Partners VII, L.P. and 1,470 shares held by Institutional Venture Management VII, L.P.
- [F3]Includes 81,102 shares held by ATA Ventures I, L.P., 3,070 shares held by ATA Affiliates Fund I, L.P. and 772 shares held by ATA Investment Fund I L.P. Also includes 19,951 shares held by Institutional Venture Partners VII, L.P. and 407 shares held by Institutional Venture Management VII, L.P.
- [F4]Includes 114,571 shares held by ATA Ventures I, L.P., 4,338 shares held by ATA Affiliates Fund I, L.P. and 1,090 shares held by ATA Investment Fund I L.P. Also includes 29,400 shares held by Institutional Venture Partners VII, L.P. and 600 shares held by Institutional Venture Management VII, L.P.
- [F5]Includes 15,280 shares of common stock issuable upon conversion of Series X Preferred Stock held by ATA Ventures I, L.P., 576 shares of common stock issuable upon conversion of Series X Preferred Stock held by ATA Affiliates Fund I, L.P. and 144 shares of common stock issuable upon conversion of Series X Preferred Stock held by ATA Investment Fund I, L.P. Also includes 58,176 shares of common stock issuable upon conversion of Series X Preferred Stock held by Institutional Venture Partners VII, L.P. and 1,184 shares of common stock issuable upon conversion of Series X Preferred Stock held by Institutional Venture Management VII, L.P.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]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.