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Share Name | Share Symbol | Market | Type |
---|---|---|---|
NeoPhotonics Corporation | NYSE:NPTN | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 16.01 | 0 | 01:00:00 |
1. Name and Address of Reporting Person * SOPHIE MICHAEL J | 2. Issuer Name and Ticker or Trading Symbol NEOPHOTONICS CORP [ NPTN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 1/2/2020 | M | 11709 | A | $4.27 | 37035 | D | |||
Common Stock | 1/2/2020 | S | 11709 | D | $9.0 | 25326 | D | |||
Common Stock | 1/2/2020 | M | 1000 | A | $7.5 | 26326 | D | |||
Common Stock | 1/2/2020 | S | 1000 | D | $9.0 | 25326 | D | |||
Common Stock | 1/2/2020 | M | 7407 | A | $6.75 | 32733 | D | |||
Common Stock | 1/2/2020 | S | 7407 | D | $9.0 | 25326 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $4.27 | 1/2/2020 | M | 11709 | 6/8/2014 (1) | 6/8/2022 | Common Stock | 11709 | $9.0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $6.75 | 1/2/2020 | M | 7407 | 6/17/2013 (1) | 6/16/2021 | Common Stock | 7407 | $9.0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $7.5 | 1/2/2020 | M | 1000 | 12/1/2014 (1) | 12/12/2020 | Common Stock | 1000 | $9.0 | 0 | D |
Explanation of Responses: | |
(1) | Exercise pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
SOPHIE MICHAEL J 2911 ZANKER RD SAN JOSE, CA 95134 | X |
Signatures | ||
By: /s/ Judi Otteson, Attorney-in-Fact For: Michael J Sophie | 1/3/2020 | |
**Signature of Reporting Person | Date |
1 Year NeoPhotonics Chart |
1 Month NeoPhotonics Chart |
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