4//SEC Filing
NEOPHOTONICS CORP 4
Accession 0001227025-16-000225
CIK 0001227025operating
Filed
Dec 22, 7:00 PM ET
Accepted
Dec 23, 7:29 PM ET
Size
8.7 KB
Accession
0001227025-16-000225
Insider Transaction Report
Form 4
WALLIN RAY
SVP, CFO
Transactions
- Disposition to Issuer
Common Stock
2016-12-23$10.91/sh−3,132$34,170→ 25,082 total - Exercise/Conversion
Common Stock
2016-12-23+8,333→ 28,214 total - Exercise/Conversion
Restricted Stock Units (right to acquire)
2016-12-23−8,333→ 0 totalExercise: $0.00Exp: 2016-12-23→ Common Stock (8,333 underlying)
Footnotes (5)
- [F1]Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan.
- [F2]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.
- [F3]Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
- [F4]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.
- [F5]Represents the vest date of the last installment of this award.
Documents
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, 7:29 PM ET
- Size
- 8.7 KB