Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lumentum Holdings Inc.LITE · Entity 2957 | PRESIDENT, GLOBAL BUS. UNITS | September 28, 2026 | October 01, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Lumentum Holdings Inc.
Report date September 28, 2026 · Filed October 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 108,320 |
Ending reported balance
After 2026-09-29 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-28 · Sale · Disposed 500 · Balance 108,627 F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Row 2 · 2026-09-29 · Sale · Disposed 307 · Balance 108,320 F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
NEOPHOTONICS CORP
Report date August 03, 2022 · Filed August 05, 2022
Section 16 reporting ended · disclosed 2022-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 1
1 source rowRow 1 · 2022-08-03 · Disposition to issuer · Disposed 207,878 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.30 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-08-03 · Disposition to issuer · Disposed 40,000 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.59 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-08-03 · Disposition to issuer · Disposed 25,964 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.07 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-08-03 · Disposition to issuer · Disposed 9,667 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.27 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-08-03 · Disposition to issuer · Disposed 8,268 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.11 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-08-03 · Disposition to issuer · Disposed 68,000 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.59 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-08-03 · Disposition to issuer · Disposed 7,036 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.07 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-08-03 · Disposition to issuer · Disposed 19,333 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.27 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-08-03 · Disposition to issuer · Disposed 21,732 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Restricted Stock Unit (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-08-03 · Disposition to issuer · Disposed 90,525 · Balance 0 F3: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement. |
| Performance Restricted Stock Unit (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-08-03 · Disposition to issuer · Disposed 36,900 · Balance 0 F4: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration").
F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement.
F3: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement.
F4: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 19, 2025 Filed Aug 22, 2025 01:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 22,760 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-022694 · form4-08222025_010832.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 99,210 F1 · kind: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, following vesting, one share of the Issuer's Common Stock. 1/3 of the shares shall vest one year from the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter on the 15th of November, February, May and August, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| August 18, 2025 Filed Aug 19, 2025 21:34 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 109 | $116.45 | $12,693.05 |
DisclosureSEC source: 0001415889-25-022345 · form4-08192025_090844.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 76,559 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 15, 2025 Filed Aug 19, 2025 21:34 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 109 | $113.61 | $12,383.49 |
DisclosureSEC source: 0001415889-25-022345 · form4-08192025_090844.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 76,668 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 15, 2025 Filed Aug 19, 2025 21:34 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 2,540 | $115.86 | $294,284.40 |
DisclosureSEC source: 0001415889-25-022345 · form4-08192025_090844.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 76,777 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 07, 2025 Filed Aug 12, 2025 00:58 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 745 | $111.13 | $82,791.85 |
DisclosureSEC source: 0001415889-25-021465 · form4-08122025_120809.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,317 F2 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of PSUs. Read SEC document |
| August 07, 2025 Filed Aug 12, 2025 00:58 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 1,465 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-021465 · form4-08122025_120809.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,062 F1 · shares: Represents the acquisition of shares upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to certain performance stock units (PSUs) granted to the Reporting Person on August 24, 2022. Read SEC document |
| August 06, 2025 Filed Aug 9, 2025 00:36 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 241 | $108.34 | $26,109.94 |
DisclosureSEC source: 0001415889-25-021371 · form4-08092025_120836.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 78,597 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 05, 2025 Filed Aug 5, 2025 20:32 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 241 | $111.73 | $26,926.93 |
DisclosureSEC source: 0001415889-25-021041 · form4-08052025_080800.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 78,838 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 04, 2025 Filed Aug 5, 2025 20:32 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 241 | $108.09 | $26,049.69 |
DisclosureSEC source: 0001415889-25-021041 · form4-08052025_080800.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 79,079 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| August 03, 2025 Filed Aug 5, 2025 20:32 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 453 | $106.68 | $48,326.04 |
DisclosureSEC source: 0001415889-25-021041 · form4-08052025_080800.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 79,320 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| July 23, 2025 Filed Jul 25, 2025 20:40 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 265 | $99.92 | $26,478.80 |
DisclosureSEC source: 0001415889-25-020287 · form4-07252025_080704.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 79,773 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| July 22, 2025 Filed Jul 22, 2025 21:54 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 264 | $103.13 | $27,226.32 |
DisclosureSEC source: 0001415889-25-020132 · form4-07222025_090735.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 80,038 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| July 21, 2025 Filed Jul 22, 2025 21:54 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 264 | $102.22 | $26,986.08 |
DisclosureSEC source: 0001415889-25-020132 · form4-07222025_090735.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 80,302 F2 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| July 20, 2025 Filed Jul 22, 2025 21:54 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 442 | $102.22 | $45,181.24 |
DisclosureSEC source: 0001415889-25-020132 · form4-07222025_090735.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 80,566 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| May 19, 2025 Filed May 19, 2025 23:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 289 | $75.88 | $21,929.32 |
DisclosureSEC source: 0001415889-25-013737 · form4-05192025_110513.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 81,008 F3 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| May 16, 2025 Filed May 19, 2025 23:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 290 | $77.98 | $22,614.20 |
DisclosureSEC source: 0001415889-25-013737 · form4-05192025_110513.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 81,297 F3 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| May 15, 2025 Filed May 15, 2025 23:57 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 4,716 | $76.87 | $362,518.92 |
DisclosureSEC source: 0001415889-25-013290 · form4-05152025_110524.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 82,957 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| May 15, 2025 Filed May 19, 2025 23:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 1,790 | $77.76 | $139,190.40 |
DisclosureSEC source: 0001415889-25-013737 · form4-05192025_110513.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 81,587 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. F2 · balance_after: The number of shares beneficially owned reflects 420 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 15, 2023 (which 420 shares were sold May 14, 2025). Read SEC document |
| May 14, 2025 Filed May 15, 2025 23:57 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 4,426 | $74.94 | $331,684.44 |
DisclosureSEC source: 0001415889-25-013290 · form4-05152025_110524.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 87,673 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. Read SEC document |
| May 13, 2025 Filed May 15, 2025 23:57 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 4,426 | $71.80 | $317,786.80 |
DisclosureSEC source: 0001415889-25-013290 · form4-05152025_110524.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 92,099 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 11, 2025. F2 · balance_after: Includes a total of 1,023 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on November 15, 2023 and May 15, 2024. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 22:45 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 1,843 | $77.68 | $143,164.24 |
DisclosureSEC source: 0001415889-25-004686 · form4-02192025_100244.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,502 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| November 15, 2024 Filed Nov 20, 2024 01:13 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 2,534 | $81.45 | $206,394.30 |
DisclosureSEC source: 0001415889-24-027291 · form4-11202024_011137.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,345 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 23, 2024 Filed Aug 28, 2024 01:23 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 8,115 | $59.17 | $480,164.55 |
DisclosureSEC source: 0001415889-24-022371 · form4-08282024_010802.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,583 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 21, 2024 Filed Aug 31, 2024 00:05 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 34,296 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-022661 · form4-08312024_120848.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 99,879 F1 · kind: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, following vesting, one share of the Issuer's Common Stock. 1/3 of the shares shall vest one year from the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter on the 15th of November, February, May and August, subject to the Reporting Person continuing to be an employee through each such date, or as provided under the Issuer's 2015 Equity Incentive Plan. F2 · balance_after: The number of shares beneficially owned is as of August 30, 2024. Read SEC document |
| August 15, 2024 Filed Aug 20, 2024 01:05 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 182 | $52.26 | $9,511.32 |
DisclosureSEC source: 0001415889-24-021657 · form4-08202024_010812.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,698 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 02, 2024 Filed Aug 6, 2024 00:39 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 403 | $44.33 | $17,864.99 |
DisclosureSEC source: 0001415889-24-020794 · form4-08062024_120839.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,880 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| July 19, 2024 Filed Jul 24, 2024 00:00 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 440 | $54.77 | $24,098.80 |
DisclosureSEC source: 0001415889-24-020000 · form4-07242024_120707.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,283 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| May 15, 2024 Filed May 17, 2024 23:43 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 182 | $45.72 | $8,321.04 |
DisclosureSEC source: 0001415889-24-013637 · form4-05172024_110540.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,785 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| February 15, 2024 Filed Feb 21, 2024 01:13 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 209 | $49.19 | $10,280.71 |
DisclosureSEC source: 0001415889-24-004513 · form4-02212024_010214.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · PRESIDENT, CLOUD & NETWORKING 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,967 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| November 15, 2023 Filed Nov 18, 2023 01:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Tax withholdingCommon Stock | 253 | $45.14 | $11,420.42 |
DisclosureSEC source: 0001209191-23-055925 · doc4.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,176 F1 · kind: Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of restricted stock units. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerPerformance Restricted Stock Unit (right to acquire) · Derivative | 36,900 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 11 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 36,900 shares Expires not disclosed F4 · price: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement. F4 · derivative.exercise_date: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement. F4 · derivative.expiration_date: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerRestricted Stock Unit (right to acquire) · Derivative | 90,525 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 10 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,525 shares Expires not disclosed F3 · price: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement. F3 · derivative.exercise_date: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement. F3 · derivative.expiration_date: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 21,732 | Not disclosed Strike: $12.27 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 9 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,732 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerIncentive Stock Option (right to buy) · Derivative | 8,268 | Not disclosed Strike: $12.27 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 8 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,268 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 19,333 | Not disclosed Strike: $8.07 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 7 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,333 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerIncentive Stock Option (right to buy) · Derivative | 9,667 | Not disclosed Strike: $8.07 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 6 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,667 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 7,036 | Not disclosed Strike: $7.59 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 5 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,036 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerIncentive Stock Option (right to buy) · Derivative | 25,964 | Not disclosed Strike: $7.59 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 4 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,964 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 68,000 | Not disclosed Strike: $5.11 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 68,000 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerIncentive Stock Option (right to buy) · Derivative | 40,000 | Not disclosed Strike: $3.30 | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · derivative · entry 2 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,650 shares Expires not disclosed F2 · price: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.exercise_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. F2 · derivative.expiration_date: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 23:09 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 207,878 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-044658 · doc4.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VP, Global Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). Read SEC document |
| July 30, 2022 Filed Aug 2, 2022 21:54 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000138 · edgardoc.xml · derivative · entry 6 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2023-07-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F4 · derivative.exercise_date: 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date. Read SEC document |
| July 30, 2022 Filed Aug 2, 2022 21:54 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 2,666 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000138 · edgardoc.xml · derivative · entry 5 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,666 shares Expires 2022-07-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F3 · derivative.exercise_date: The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested. Read SEC document |
| July 30, 2022 Filed Aug 2, 2022 21:54 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 922 | $16.00 | $14,752.00 |
DisclosureSEC source: 0001227025-22-000138 · edgardoc.xml · nonDerivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,878 F1 · price: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. Read SEC document |
| July 30, 2022 Filed Aug 2, 2022 21:54 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 3,458 | $16.00 | $55,328.00 |
DisclosureSEC source: 0001227025-22-000138 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,800 F1 · price: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. Read SEC document |
| July 30, 2022 Filed Aug 2, 2022 21:54 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000138 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,258 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 30, 2022 Filed Aug 2, 2022 21:54 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 2,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000138 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,258 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 20, 2022 Filed Jul 22, 2022 21:01 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 13,475 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000112 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,425 Underlying: Common Stock · 13,475 shares Expires 2025-07-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F3 · derivative.exercise_date: 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date. Read SEC document |
| July 20, 2022 Filed Jul 22, 2022 21:01 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 13,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000112 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,592 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 20, 2022 Filed Jul 22, 2022 21:01 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 4,660 | $15.71 | $73,208.60 |
DisclosureSEC source: 0001227025-22-000112 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,117 F1 · price: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.