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4//SEC Filing

NEOPHOTONICS CORP 4

Accession 0001227025-14-000032

CIK 0001227025operating
View on SEC.govCompany Profile

Filed

Aug 3, 8:00 PM ET

Accepted

Aug 4, 8:06 PM ET

Size

18.7 KB

Accession

0001227025-14-000032

Insider Transaction Report

Form 4
Period: 2014-07-31
NEOPHOTONICS CORPNPTN
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 total
    Exercise: $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 total
    Exercise: $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 total
    Exercise: $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.

Documents

1 file

Issuer

NEOPHOTONICS CORP

CIK 0001227025

→
Entity typeoperating

Related Parties

1
  • filerCIK 0001227025

Filing Metadata

Form type
4
Filed
Aug 3, 8:00 PM ET
Accepted
Aug 4, 8:06 PM ET
Size
18.7 KB
View on SEC.gov