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4//SEC Filing

Jenks Timothy Storrs 4

Accession 0001227025-22-000139

CIK 0001227025other

View on SEC.gov Company Profile

Filed

Aug 1, 8:00 PM ET

Accepted

Aug 2, 5:55 PM ET

Size

16.1 KB

Accession

0001227025-22-000139

Insider Transaction Report

Form 4

Period: 2022-07-30

NEOPHOTONICS CORPNPTN

Jenks Timothy Storrs

DirectorPresident, CEO and Chairman

Transactions

Exercise/Conversion
Common Stock
2022-07-30+25,000→ 488,450 total
Exercise/Conversion
Restricted Stock Units (right to acquire)
2022-07-30−25,000→ 25,000 total
Exercise: $0.00From: 2022-07-30Exp: 2023-07-30→ Common Stock (25,000 underlying)
Exercise/Conversion
Common Stock
2022-07-30+6,666→ 463,450 total
Disposition to Issuer
Common Stock
2022-08-02$15.99/sh−6,970$111,450→ 481,480 total
Exercise/Conversion
Restricted Stock Units (right to acquire)
2022-07-30−6,666→ 0 total
Exercise: $0.00From: 2022-07-30Exp: 2022-07-30→ Common Stock (6,666 underlying)

Holdings

Common Stock
(indirect: By Trust)
3,200
Common Stock
(indirect: By Trust)
3,076
Common Stock
(indirect: By Trust)
32,465
Common Stock
(indirect: By Trust)
3,798
Common Stock
(indirect: By Trust)
32,465

Footnotes (7)

[F1]Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person.
[F2]Represents shares held by Timothy S. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022.
[F3]Represents shares held by Atsuko K. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022.
[F4]Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
[F5]Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
[F6]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.
[F7]25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date.

Documents

1 file

4
edgardoc.xmlPrimary
PRIMARY DOCUMENT

Issuer

NEOPHOTONICS CORP

CIK 0001227025

Entity typeother

Related Parties

1

filerCIK 0001488795

Filing Metadata

Form type: 4
Filed: Aug 1, 8:00 PM ET
Accepted: Aug 2, 5:55 PM ET
Size: 16.1 KB

View on SEC.gov