cheung Chiyue's Form 4 filing
Neophotonics Corp (NPTN) · filed Nov 8, 2021
- Accession no.
- 0001227025-21-000246
- Filed
- Nov 8, 2021
- Trade date
- Nov 4, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.38M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 4, 2021 | Common Stock | MOption exerciseAcquired | +30,000 | $12.27 | +$368,100 | 30,000 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −30,000 | $15.04 | −$451,200 | 0 | Direct | |
| Nov 4, 2021 | Common Stock | MOption exerciseAcquired | +33,000 | $7.59 | +$250,470 | 33,000 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −33,000 | $15.04 | −$496,320 | 0 | Direct | |
| Nov 4, 2021 | Common Stock | MOption exerciseAcquired | +29,000 | $8.07 | +$234,030 | 29,000 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −29,000 | $15.04 | −$436,160 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 4, 2021 | Common Stock | MOption exerciseDisposed | −33,000 | $15.04 | −$496,320 | 0 | Direct | |
| Nov 4, 2021 | Common Stock | MOption exerciseDisposed | −29,000 | $15.04 | −$436,160 | 0 | Direct | |
| Nov 4, 2021 | Common Stock | MOption exerciseDisposed | −30,000 | $15.04 | −$451,200 | 0 | 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.