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4//SEC Filing

NEOPHOTONICS CORP 4

Accession 0001227025-14-000071

CIK 0001227025operating
View on SEC.govCompany Profile

Filed

Dec 22, 7:00 PM ET

Accepted

Dec 23, 5:28 PM ET

Size

35.4 KB

Accession

0001227025-14-000071

Insider Transaction Report

Form 4
Period: 2014-12-18
NEOPHOTONICS CORPNPTN
Lipscomb George Ferris
VP, Marketing
Transactions
  • Disposition to Issuer

    Incentive Stock Option (right to buy)

    2014-12-18−7,500→ 0 total
    Exercise: $4.96Exp: 2022-07-30→ Common Stock (7,500 underlying)
  • Award

    Incentive Stock Option (right to buy)

    2014-12-18+5,700→ 5,700 total
    Exercise: $3.50Exp: 2015-07-06→ Common Stock (5,700 underlying)
  • Award

    Incentive Stock Option (right to buy)

    2014-12-18+22,000→ 22,000 total
    Exercise: $3.50Exp: 2017-05-15→ Common Stock (22,000 underlying)
  • Award

    Incentive Stock Option (right to buy)

    2014-12-18+5,600→ 5,600 total
    Exercise: $3.50Exp: 2020-01-26→ Common Stock (5,600 underlying)
  • Award

    Incentive Stock Option (right to buy)

    2014-12-18+6,000→ 6,000 total
    Exercise: $3.50Exp: 2020-12-12→ Common Stock (6,000 underlying)
  • Award

    Incentive Stock Option (right to buy)

    2014-12-18+6,000→ 6,000 total
    Exercise: $3.50Exp: 2023-09-17→ Common Stock (6,000 underlying)
  • Award

    Incentive Stock Option (right to buy)

    2014-12-18+7,500→ 7,500 total
    Exercise: $3.50Exp: 2022-07-30→ Common Stock (7,500 underlying)
  • Disposition to Issuer

    Incentive Stock Option (right to buy)

    2014-12-18−5,700→ 0 total
    Exercise: $4.65Exp: 2015-07-06→ Common Stock (5,700 underlying)
  • Disposition to Issuer

    Incentive Stock Option (right to buy)

    2014-12-18−6,000→ 0 total
    Exercise: $7.50Exp: 2020-12-12→ Common Stock (6,000 underlying)
  • Disposition to Issuer

    Incentive Stock Option (right to buy)

    2014-12-18−5,600→ 0 total
    Exercise: $12.00Exp: 2020-01-26→ Common Stock (5,600 underlying)
  • Disposition to Issuer

    Incentive Stock Option (right to buy)

    2014-12-18−22,000→ 0 total
    Exercise: $4.25Exp: 2017-05-15→ Common Stock (22,000 underlying)
  • Disposition to Issuer

    Incentive Stock Option (right to buy)

    2014-12-18−6,000→ 0 total
    Exercise: $7.54Exp: 2023-09-17→ Common Stock (6,000 underlying)
Footnotes (14)
  • [F1]100% of the shares subject to the option vest on May 7, 2015.
  • [F10]The reporting person agreed to certain amendments of his outstanding stock option, as reflected in this Form 4, for 6,000 shares of the Company's common stock granted to the reporting person on 12/13/2010 (the "December 2010 Option") in exchange for an amended option, for 6,000 shares of the Company's common stock, having an exercise price of $3.50 a share, which was issued to the reporting person on December 18, 2014 (the "Amended Option"). The reporting person tendered the December 2010 Option pursuant to the terms of the Tender Offer Statement on Schedule TO filed by the Company with the Securities and Exchange Commission on November 18, 2014, as amended, (the "Schedule TO") relating to an offer by the Company to certain employees to reprice outstanding options to purchase shares of common stock.
  • [F11]The tendered option provided for vesting such that 25 percent of the shares of stock subject to the option were to vest on the one-year anniversary, and the remaining 75 percent will vest monthly over the next 36 months, subject to the reporting person's continued service relationship with the Company or any subsidiary of the Company on each such date.
  • [F12]The reporting person agreed to certain amendments of his outstanding stock option, as reflected in this Form 4, for 6,000 shares of the Company's common stock granted to the reporting person on 09/18/2013 (the "September 2013 Option") in exchange for an amended option, for 6,000 shares of the Company's common stock, having an exercise price of $3.50 a share, which was issued to the reporting person on December 18, 2014 (the "Amended Option"). The reporting person tendered the September 2013 Option pursuant to the terms of the Tender Offer Statement on Schedule TO filed by the Company with the Securities and Exchange Commission on November 18, 2014, as amended, (the "Schedule TO") relating to an offer by the Company to certain employees to reprice outstanding options to purchase shares of common stock.
  • [F13]The tendered option provided for vesting such that 50% of the shares subject to the option were to vest on two-year anniversary, and the remaining 50% will vest monthly over the next 24 months, subject to the reporting person's continued service relationship with the Company or any subsidiary of the Company on each such date.
  • [F14]The reporting person agreed to certain amendments of his outstanding stock option, as reflected in this Form 4, for 5,600 shares of the Company's common stock granted to the reporting person on 01/27/2010 (the "January 2010 Option") in exchange for an amended option, for 5,600 shares of the Company's common stock, having an exercise price of $3.50 a share, which was issued to the reporting person on December 18, 2014 (the "Amended Option"). The reporting person tendered the January 2010 Option pursuant to the terms of the Tender Offer Statement on Schedule TO filed by the Company with the Securities and Exchange Commission on November 18, 2014, as amended, (the "Schedule TO") relating to an offer by the Company to certain employees to reprice outstanding options to purchase shares of common stock.
  • [F2]50% of the shares of stock subject to the option vest on January 1, 2016, and thereafter the balance of the option shares vest and become exercisable in a series of twelve equal monthly installments on each monthly anniversary thereafter, subject to the reporting person's continued service relationship with the Company or any subsidiary of the Company on each such date.
  • [F3]The tendered option provided for vesting such that 25 percent of the shares of stock subject to the option were to vest on the one-year anniversary, and the remaining 75 percent will vest monthly over the next 36 months, subject to the reporting person's continued service relationship with the Company or any subsidiary of the Company on each such date.
  • [F4]The reporting person agreed to certain amendments of his outstanding stock option, as reflected in this Form 4, for 22,000 shares of the Company's common stock granted to the reporting person on 05/16/2007 (the "May 2007 Option") in exchange for an amended option, for 22,000 shares of the Company's common stock, having an exercise price of $3.50 a share, which was issued to the reporting person on December 18, 2014 (the "Amended Option"). The reporting person tendered the May 2007 Option pursuant to the terms of the Tender Offer Statement on Schedule TO filed by the Company with the Securities and Exchange Commission on November 18, 2014, as amended, (the "Schedule TO") relating to an offer by the Company to certain employees to reprice outstanding options to purchase shares of common stock.
  • [F5]The tendered option provided for vesting such that 25 percent of the shares of stock subject to the option were to vest upon grant, and the remaining 75 percent will vest monthly over the next 36 months, subject to the reporting person's continued service relationship with the Company or any subsidiary of the Company on each such date.
  • [F6]The reporting person agreed to certain amendments of his outstanding stock option, as reflected in this Form 4, for 5,700 shares of the Company's common stock granted to the reporting person on 07/07/2005 (the "July 2005 Option") in exchange for an amended option, for 5,700 shares of the Company's common stock, having an exercise price of $3.50 a share, which was issued to the reporting person on December 18, 2014 (the "Amended Option"). The reporting person tendered the July 2005 Option pursuant to the terms of the Tender Offer Statement on Schedule TO filed by the Company with the Securities and Exchange Commission on November 18, 2014, as amended, (the "Schedule TO") relating to an offer by the Company to certain employees to reprice outstanding options to purchase shares of common stock.
  • [F7]The tendered option provided for vesting such that 25 percent of the shares of stock subject to the option were to vest on the one-year anniversary, and the remaining 75 percent will vest monthly over the next 36 months, subject to the reporting person's continued service relationship with the Company or any subsidiary of the Company on each such date.
  • [F8]The reporting person agreed to certain amendments of his outstanding stock option, as reflected in this Form 4, for 7,500 shares of the Company's common stock granted to the reporting person on 07/31/2012 (the "July 2012 Option") in exchange for an amended option, for 7,500 shares of the Company's common stock, having an exercise price of $3.50 a share, which was issued to the reporting person on December 18, 2014 (the "Amended Option"). The reporting person tendered the July 2012 Option pursuant to the terms of the Tender Offer Statement on Schedule TO filed by the Company with the Securities and Exchange Commission on November 18, 2014, as amended, (the "Schedule TO") relating to an offer by the Company to certain employees to reprice outstanding options to purchase shares of common stock.
  • [F9]The tendered option provided for vesting such that 25 percent of the shares of stock subject to the option were to vest on the one-year anniversary, and the remaining 75 percent will vest monthly over the next 36 months, subject to the reporting person's continued service relationship with the Company or any subsidiary of the Company on each such date.

Documents

1 file

Issuer

NEOPHOTONICS CORP

CIK 0001227025

→
Entity typeoperating

Related Parties

1
  • filerCIK 0001227025

Filing Metadata

Form type
4
Filed
Dec 22, 7:00 PM ET
Accepted
Dec 23, 5:28 PM ET
Size
35.4 KB
View on SEC.gov