Jenks Timothy Storrs's Form 4/A amendment
AmendedNeophotonics Corp (NPTN) · filed Apr 28, 2022
- Accession no.
- 0001209191-22-026101
- Filed
- Apr 28, 2022
- Trade date
- Apr 26, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Apr 14, 2022
This filing lists 2 non-derivative transactions. It carries over 1 transaction from the original filing that it did not restate. Open-market sales total $258.3K. It was filed 2 days after the trade.
This amendment restates part of 0001227025-22-000022 (filed Apr 14, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Jenks Timothy StorrsCIK 0001488795 | Director, Officer (CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 26, 2022 | Common Stock | GGiftDisposed | −1,000 | $0.00 | $0 | 491,916 | Direct | |
| Apr 26, 2022 | Common Stock | GGiftDisposed | −1,000 | $0.00 | $0 | 490,916 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001227025-22-000022 (filed Apr 14, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 13, 2022 | Common Stock | SSaleDisposed | −17,040 | $15.16 | −$258,326.4 | 492,916 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction involved a gift of securities by the reporting person's spouse to their daughters. The reporting person disclaims beneficial ownership of the shares held by his daughters, and this report should not be deemed an admission that the reporting person in the beneficial owner of his daughters' shares for purposes of Section 16 or for any other purpose.
Remarks
Due to an administrative error, the original Form 4 listed each of the transaction date and deemed execution date in Column 2 and Column 2a, respectively, as April 14, 2022, although the gifts of securities were not finalized and effected until April 26, 2022. This amendment corrects the transaction date and deemed execution date in Column 2 and Column 2a, respectively.