Wupen Yuen's Form 4 filing
Neophotonics Corp (NPTN) · filed Aug 24, 2021
- Accession no.
- 0001227025-21-000218
- Filed
- Aug 24, 2021
- Trade date
- Aug 20, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market sales total $222.0K. It was filed 4 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 |
|---|---|
| Wupen YuenCIK 0001489550 | Officer (VICE PRESIDENT GLOBAL PRODUCT) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 20, 2021 | Common Stock | SSaleDisposed | −2,456 | $8.10 | −$19,893.6 | 240,100 | Direct | |
| Aug 20, 2021 | Common Stock | SSaleDisposed | −24,616 | $8.21 | −$202,097.36 | 215,484 | 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.