cheung Chiyue's Form 4 filing
Neophotonics Corp (NPTN) · filed Jul 6, 2021
- Accession no.
- 0001227025-21-000172
- Filed
- Jul 6, 2021
- Trade date
- Jul 1-2, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $164.4K. It was filed 5 days after the trade.
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 |
|---|---|
| cheung ChiyueCIK 0001489294 | Officer (Chief Operating Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +9,750 | $0.00 | $0 | 9,750 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +6,500 | $0.00 | $0 | 16,250 | Direct | |
| Jul 2, 2021 | Common Stock | SSaleDisposed | −9,750 | $10.12 | −$98,670 | 6,500 | Direct | |
| Jul 2, 2021 | Common Stock | SSaleDisposed | −6,500 | $10.12 | −$65,780 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −9,750 | $0.00 | $0 | 22,750 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −6,500 | $0.00 | $0 | 16,250 | 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.
No transaction price on this filing refers to a footnote.