Sophie Michael J's Form 4 filing
Neophotonics Corp (NPTN) · filed Nov 8, 2021
- Accession no.
- 0001227025-21-000248
- 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 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $261.5K. 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 |
|---|---|
| Sophie Michael JCIK 0001209534 | Director |
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 | +5,228 | $8.56 | +$44,751.68 | 29,050 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −5,228 | $15.04 | −$78,629.12 | 23,822 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −12,160 | $15.04 | −$182,886.4 | 11,662 | 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 | −5,228 | $15.04 | −$78,629.12 | 3,732 | 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.