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 |
|---|---|---|---|---|---|---|
| July 05, 2022 Filed Jul 8, 2022 00:11 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 12,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000106 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2023-07-05 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F2 · derivative.exercise_date: 100% of the underlying shares shall vest on the one-year anniversary of the Vesting Commencement Date, subject to the recipient's continued service through such date. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 20:26 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 16,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000092 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,250 shares Expires 2025-07-01 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: These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. 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 01, 2022 Filed Jul 6, 2022 20:26 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 16,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-22-000092 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,777 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 01, 2022 Filed Jul 6, 2022 20:26 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 5,620 | $15.70 | $88,234.00 |
DisclosureSEC source: 0001227025-22-000092 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,527 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 |
| May 05, 2022 Filed May 9, 2022 20:07 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-22-000050 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 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. Read SEC document |
| May 05, 2022 Filed May 9, 2022 20:07 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 3,750 | $15.08 | $56,554.50 |
DisclosureSEC source: 0001227025-22-000050 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,147 F1 · date: Sale to cover the exercise price of the options. Read SEC document |
| May 05, 2022 Filed May 9, 2022 20:07 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 10,000 | $3.50 | $35,000.00 |
DisclosureSEC source: 0001227025-22-000050 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,897 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 |
| December 29, 2021 Filed Jan 3, 2022 21:23 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 7,000 | $0.00 Strike: $5.11 | $0.00 |
DisclosureSEC source: 0001227025-22-000002 · edgardoc.xml · derivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,000 Underlying: Common Stock · 7,000 shares Expires 2023-06-10 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 |
| December 29, 2021 Filed Jan 3, 2022 21:23 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 7,000 | $5.11 | $35,770.00 |
DisclosureSEC source: 0001227025-22-000002 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,897 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. F1 · kind: Represents a cash exercise. Read SEC document |
| November 04, 2021 Filed Nov 8, 2021 23:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 48,587 | $15.04 | $730,748.48 |
DisclosureSEC source: 0001227025-21-000242 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,897 F1 · date: Sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 20, 2021 Filed Aug 24, 2021 20:42 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 24,616 | $8.21 | $202,023.51 |
DisclosureSEC source: 0001227025-21-000218 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,484 Read SEC document |
| August 20, 2021 Filed Aug 24, 2021 20:42 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 2,456 | $8.10 | $19,896.30 |
DisclosureSEC source: 0001227025-21-000218 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,100 Read SEC document |
| July 30, 2021 Filed Aug 3, 2021 22:15 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: 0001227025-21-000206 · edgardoc.xml · derivative · entry 6 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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, 2021 Filed Aug 3, 2021 22:15 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 2,667 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000206 · edgardoc.xml · derivative · entry 5 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,666 Underlying: Common Stock · 2,667 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, 2021 Filed Aug 3, 2021 22:15 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 4,958 | $9.70 | $48,092.60 |
DisclosureSEC source: 0001227025-21-000206 · edgardoc.xml · nonDerivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,556 F1 · shares: 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, 2021 Filed Aug 3, 2021 22:15 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000206 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 247,514 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, 2021 Filed Aug 3, 2021 22:15 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,323 | $9.70 | $12,833.10 |
DisclosureSEC source: 0001227025-21-000206 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,514 F1 · shares: 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, 2021 Filed Aug 3, 2021 22:15 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000206 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,837 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, 2021 Filed Jul 22, 2021 21:40 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 53,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000184 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,900 Underlying: Common Stock · 53,900 shares Expires 2025-07-20 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F2 · 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 01, 2021 Filed Jul 2, 2021 21:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 6,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000167 · edgardoc.xml · derivative · entry 6 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,250 Underlying: Common Stock · 6,500 shares Expires 2025-07-01 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: These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. 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 01, 2021 Filed Jul 2, 2021 21:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 9,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000167 · edgardoc.xml · derivative · entry 5 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,750 Underlying: Common Stock · 9,750 shares Expires 2025-07-01 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: These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. 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 01, 2021 Filed Jul 2, 2021 21:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 3,223 | $10.21 | $32,906.83 |
DisclosureSEC source: 0001227025-21-000167 · edgardoc.xml · nonDerivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,170 F1 · shares: 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 01, 2021 Filed Jul 2, 2021 21:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000167 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,393 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 01, 2021 Filed Jul 2, 2021 21:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 3,688 | $10.21 | $37,654.48 |
DisclosureSEC source: 0001227025-21-000167 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,893 F1 · shares: 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 01, 2021 Filed Jul 2, 2021 21:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 9,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000167 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,581 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 |
| June 04, 2021 Filed Jun 8, 2021 21:37 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 14,400 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000142 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,400 shares Expires 2021-06-04 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F4 · derivative.exercise_date: These restricted stock units are scheduled to vest 30% on June 4, 2019, 30% on June 4, 2020 and 40% on June 4, 2021, 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 |
| June 04, 2021 Filed Jun 8, 2021 21:37 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 4,980 | $10.65 | $53,037.00 |
DisclosureSEC source: 0001227025-21-000142 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,831 F2 · shares: 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 |
| June 04, 2021 Filed Jun 8, 2021 21:37 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 14,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000142 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,811 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. F1 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| April 09, 2021 Filed Apr 13, 2021 22:02 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 13,800 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000069 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,400 Underlying: Common Stock · 13,800 shares Expires 2024-04-09 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 |
| April 09, 2021 Filed Apr 13, 2021 22:02 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 4,773 | $12.00 | $57,276.00 |
DisclosureSEC source: 0001227025-21-000069 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,194 F1 · shares: 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 |
| April 09, 2021 Filed Apr 13, 2021 22:02 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 13,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000069 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,967 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 |
| March 25, 2021 Filed Mar 27, 2021 01:05 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 11,044 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000040 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,044 shares Expires 2021-03-25 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: 100% of the underlying shares shall vest on the one-year anniversary of the Vesting Commencement Date, subject to the recipient's continued service through such date. Read SEC document |
| March 25, 2021 Filed Mar 27, 2021 01:05 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 3,820 | $11.85 | $45,267.00 |
DisclosureSEC source: 0001227025-21-000040 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,167 F1 · shares: 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 |
| March 25, 2021 Filed Mar 27, 2021 01:05 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 11,044 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000040 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,987 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 |
| February 08, 2021 Filed Feb 10, 2021 22:58 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 13,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000018 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,500 Underlying: Common Stock · 13,000 shares Expires 2025-07-01 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: These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. 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 |
| February 08, 2021 Filed Feb 10, 2021 22:58 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 4,496 | $12.53 | $56,334.88 |
DisclosureSEC source: 0001227025-21-000018 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,943 F1 · shares: 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 |
| February 08, 2021 Filed Feb 10, 2021 22:58 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 13,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000018 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,439 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 |
| January 22, 2021 Filed Jan 26, 2021 23:21 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 19,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000008 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,500 Underlying: Common Stock · 19,500 shares Expires 2025-07-01 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: These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. 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 |
| January 22, 2021 Filed Jan 26, 2021 23:21 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 7,361 | $12.24 | $90,098.64 |
DisclosureSEC source: 0001227025-21-000008 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,439 F1 · shares: 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 |
| January 22, 2021 Filed Jan 26, 2021 23:21 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 19,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-21-000008 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,800 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 |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 2,558 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · derivative · entry 8 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,558 shares Expires 2023-09-17 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. F3 · derivative.exercise_date: 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and 1/24th of the total number of Option Shares shall vest on each monthly anniversary of the Vesting commencement Date, so long as the optionee remains an employee or consultant to the Company or its quallifying subsidiaries. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 22,442 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · derivative · entry 7 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,558 Underlying: Common Stock · 22,442 shares Expires 2023-09-17 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. F3 · derivative.exercise_date: 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and 1/24th of the total number of Option Shares shall vest on each monthly anniversary of the Vesting commencement Date, so long as the optionee remains an employee or consultant to the Company or its quallifying subsidiaries. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · derivative · entry 6 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2021-08-01 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. F3 · derivative.exercise_date: 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and 1/24th of the total number of Option Shares shall vest on each monthly anniversary of the Vesting commencement Date, so long as the optionee remains an employee or consultant to the Company or its quallifying subsidiaries. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · derivative · entry 5 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 12,000 shares Expires 2021-08-01 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. F3 · derivative.exercise_date: 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and 1/24th of the total number of Option Shares shall vest on each monthly anniversary of the Vesting commencement Date, so long as the optionee remains an employee or consultant to the Company or its quallifying subsidiaries. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 2,558 | $3.50 | $8,953.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · nonDerivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,300 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. F1 · shares: Represents a cash exercise. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 6,000 | $3.50 | $21,000.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,742 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. F1 · shares: Represents a cash exercise. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 12,000 | $3.50 | $42,000.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,742 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. F1 · shares: Represents a cash exercise. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 00:43 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 22,442 | $3.50 | $78,547.00 |
DisclosureSEC source: 0001227025-21-000002 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,742 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. F1 · shares: Represents a cash exercise. F2 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 22:31 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-20-000170 · edgardoc.xml · derivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2020-12-12 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_date: 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date (12/08/2009), and 1/24th of the total number of Option Shares shall vest on each monthly anniversary of the Vesting commencement Date, so long as the optionee remains an employee or consultant to the Company or its quallifying subsidiaries. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 22:31 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 12,000 | $3.50 | $42,000.00 |
DisclosureSEC source: 0001227025-20-000170 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,944 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. F1 · shares: Represents a cash exercise. 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.