Li Yanbing's Form 4 filing
Neophotonics Corp (NPTN) · filed Dec 13, 2021
- Accession no.
- 0001227025-21-000254
- Filed
- Dec 13, 2021
- Trade date
- Dec 9, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $595.1K. 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 |
|---|---|
| Li YanbingCIK 0001783061 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2021 | Common Stock | MOption exerciseAcquired | +3,820 | $10.17 | +$38,849.4 | 19,803 | Direct | |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −3,820 | $15.32 | −$58,522.4 | 15,983 | Direct | |
| Dec 9, 2021 | Common Stock | MOption exerciseAcquired | +8,960 | $8.56 | +$76,697.6 | 24,943 | Direct | |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −8,960 | $15.32 | −$137,267.2 | 15,983 | Direct | |
| Dec 9, 2021 | Common Stock | MOption exerciseAcquired | +18,665 | $4.37 | +$81,566.05 | 34,648 | Direct | |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −18,665 | $15.32 | −$285,947.8 | 15,983 | Direct | |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −7,397 | $15.33 | −$113,396.01 | 8,586 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2021 | Common Stock | MOption exerciseDisposed | −18,665 | $0.00 | $0 | 0 | Direct | |
| Dec 9, 2021 | Common Stock | MOption exerciseDisposed | −8,960 | $0.00 | $0 | 0 | Direct | |
| Dec 9, 2021 | Common Stock | MOption exerciseDisposed | −3,820 | $0.00 | $0 | 3,821 | 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.