NEOPHOTONICS CORP 4
4 · NEOPHOTONICS CORP · Filed Aug 4, 2014
Insider Transaction Report
Form 4
Lipscomb George Ferris
VP, Marketing
Transactions
- Tax Payment
Common Stock
2014-07-31$3.11/sh−490$1,524→ 30,230 total - Tax Payment
Common Stock
2014-07-31$3.11/sh−1,223$3,804→ 28,331 total - Exercise/Conversion
Common Stock
2014-07-31+1,334→ 30,720 total - Exercise/Conversion
Restricted Stock Units (right to acquire)
2014-07-31−3,333→ 0 totalExercise: $0.00From: 2012-08-02Exp: 2014-08-02→ Common Stock (3,333 underlying) - Exercise/Conversion
Restricted Stock Units (right to acquire)
2014-07-31−1,334→ 2,666 totalExercise: $0.00From: 2014-07-31Exp: 2016-07-31→ Common Stock (1,334 underlying) - Exercise/Conversion
Common Stock
2014-07-31+3,333→ 29,554 total - Exercise/Conversion
Common Stock
2014-07-31+1,667→ 29,998 total - Exercise/Conversion
Restricted Stock Units (right to acquire)
2014-07-31−1,667→ 1,666 totalExercise: $0.00From: 2013-07-31Exp: 2015-07-31→ Common Stock (1,667 underlying) - Tax Payment
Common Stock
2014-07-31$3.11/sh−612$1,903→ 29,386 total
Footnotes (5)
- [F1]Represents shares reacquired by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person.
- [F2]Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- [F3]The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.
- [F4]Represents the vest date of the last installment of this award.
- [F5]This RSU is issued pursuant to the 2010 Equity Incentive Plan. The shares vest in three equal annual installments on July 31 of each year, so long as the grantee remains an employee of or consultant to the company.