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 31, 2020 Filed Aug 3, 2020 22:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 5,620 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000132 · edgardoc.xml · derivative · entry 7 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,620 shares Expires 2020-07-31 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: 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 31, 2020 Filed Aug 3, 2020 22:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,944 | $9.11 | $17,709.84 |
DisclosureSEC source: 0001227025-20-000132 · edgardoc.xml · nonDerivative · entry 6 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,944 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. F1 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| July 31, 2020 Filed Aug 3, 2020 22:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 5,620 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000132 · edgardoc.xml · nonDerivative · entry 5 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,888 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 |
| July 30, 2020 Filed Aug 3, 2020 22:22 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: 0001227025-20-000132 · edgardoc.xml · derivative · entry 9 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F5 · 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, 2020 Filed Aug 3, 2020 22:22 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: 0001227025-20-000132 · edgardoc.xml · derivative · entry 8 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,333 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F4 · 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, 2020 Filed Aug 3, 2020 22:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 923 | $8.92 | $8,233.16 |
DisclosureSEC source: 0001227025-20-000132 · edgardoc.xml · nonDerivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,268 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. F1 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| July 30, 2020 Filed Aug 3, 2020 22:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000132 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,191 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 |
| July 30, 2020 Filed Aug 3, 2020 22:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 3,458 | $8.92 | $30,845.36 |
DisclosureSEC source: 0001227025-20-000132 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,524 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. F1 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| July 30, 2020 Filed Aug 3, 2020 22:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000132 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,982 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 |
| June 04, 2020 Filed Jun 8, 2020 20:35 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 10,800 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000104 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,400 Underlying: Common Stock · 10,800 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, 2020 Filed Jun 8, 2020 20:35 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 3,735 | $8.99 | $33,577.65 |
DisclosureSEC source: 0001227025-20-000104 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,982 F2 · shares: Represents shares reacquired by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. F1 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 20:35 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 10,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000104 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,717 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 13, 2020 Filed Apr 15, 2020 01:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 8,504 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000053 · 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 · 8,504 shares Expires 2020-04-10 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F4 · 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 |
| April 13, 2020 Filed Apr 15, 2020 01:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 2,915 | $8.13 | $23,698.95 |
DisclosureSEC source: 0001227025-20-000053 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,461 F1 · shares: Represents shares reacquired by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. F2 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 01:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 8,504 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000053 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,376 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 |
| April 09, 2020 Filed Apr 13, 2020 21:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 55,200 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000045 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,200 Underlying: Common Stock · 55,200 shares Expires 2024-04-09 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 |
| March 25, 2020 Filed Mar 27, 2020 21:05 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 11,044 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000034 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,044 Underlying: Common Stock · 11,044 shares Expires 2021-03-25 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 |
| January 30, 2020 Filed Feb 1, 2020 01:50 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 3,676 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000004 · 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 · 3,676 shares Expires 2020-01-30 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F4 · derivative.exercise_date: 100% of the underlying shares shall vest on the six month anniversary of the Vesting Commencement Date, subject to the recipient's continued service through such date. Read SEC document |
| January 30, 2020 Filed Feb 1, 2020 01:50 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,503 | $8.17 | $12,279.51 |
DisclosureSEC source: 0001227025-20-000004 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,872 F2 · shares: Represents shares reacquired 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 30, 2020 Filed Feb 1, 2020 01:50 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 3,676 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-20-000004 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,375 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 |
| November 14, 2019 Filed Nov 16, 2019 00:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 11,200 | $8.53 Strike: $3.50 | $95,572.96 |
DisclosureSEC source: 0001227025-19-000097 · edgardoc.xml · derivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,200 shares Expires 2020-01-26 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 |
| November 14, 2019 Filed Nov 16, 2019 00:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 4,063 | $8.54 | $34,687.46 |
DisclosureSEC source: 0001227025-19-000097 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,422 Read SEC document |
| November 14, 2019 Filed Nov 16, 2019 00:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 11,200 | $8.53 | $95,572.96 |
DisclosureSEC source: 0001227025-19-000097 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,485 Read SEC document |
| November 14, 2019 Filed Nov 16, 2019 00:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 11,200 | $3.50 | $39,200.00 |
DisclosureSEC source: 0001227025-19-000097 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,685 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 |
| August 02, 2019 Filed Aug 6, 2019 22:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 6,400 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001488795-19-000020 · 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 · 6,400 shares Expires 2019-08-02 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: 30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. F3 · derivative.expiration_date: 30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. Read SEC document |
| August 02, 2019 Filed Aug 6, 2019 22:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 2,214 | $4.28 | $9,475.92 |
DisclosureSEC source: 0001488795-19-000020 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,485 F1 · shares: Represents shares reacquired 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 |
| August 02, 2019 Filed Aug 6, 2019 22:16 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 6,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001488795-19-000020 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,699 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 31, 2019 Filed Aug 2, 2019 22:05 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 5,620 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001488795-19-000016 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,620 Underlying: Common Stock · 5,620 shares Expires 2020-07-31 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: 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 31, 2019 Filed Aug 2, 2019 22:05 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,944 | $4.59 | $8,922.96 |
DisclosureSEC source: 0001488795-19-000016 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,299 F1 · shares: Represents shares reacquired by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. F2 · balance_after: Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 22:05 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 5,620 | $0.00 | $0.00 |
DisclosureSEC source: 0001488795-19-000016 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,243 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, 2019 Filed Aug 1, 2019 20:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 40,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001488795-19-000008 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,676 Underlying: Common Stock · 40,000 shares Expires 2029-07-30 F3 · 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, 2019 Filed Aug 1, 2019 20:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 3,676 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001488795-19-000008 · edgardoc.xml · derivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,676 Underlying: Common Stock · 3,676 shares Expires 2029-07-30 F2 · date: 100% of the underlying shares shall vest on the six month anniversary of the Vesting Commencement Date, subject to the recipient's continued service through such date. Read SEC document |
| July 30, 2019 Filed Aug 1, 2019 20:14 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 8,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001488795-19-000008 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2029-07-30 F1 · 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 |
| June 04, 2019 Filed Jun 6, 2019 01:36 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 10,800 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-19-000051 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,200 Underlying: Common Stock · 10,800 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. 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 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, 2019 Filed Jun 6, 2019 01:36 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 3,735 | $4.33 | $16,172.55 |
DisclosureSEC source: 0001227025-19-000051 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,623 F1 · shares: Represents shares reacquired 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, 2019 Filed Jun 6, 2019 01:36 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 10,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-19-000051 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,358 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 24, 2019 Filed May 29, 2019 01:28 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 4,707 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-19-000043 · edgardoc.xml · derivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,707 shares Expires 2019-05-27 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 24, 2019 Filed May 29, 2019 01:28 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 19,292 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-19-000043 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,707 Underlying: Common Stock · 19,292 shares Expires 2019-05-27 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 24, 2019 Filed May 29, 2019 01:28 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 4,707 | $3.50 | $16,474.50 |
DisclosureSEC source: 0001227025-19-000043 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,558 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 |
| May 24, 2019 Filed May 29, 2019 01:28 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 19,292 | $3.50 | $67,522.00 |
DisclosureSEC source: 0001227025-19-000043 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,851 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 |
| April 10, 2019 Filed Apr 12, 2019 20:58 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 8,504 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-19-000029 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,504 Underlying: Common Stock · 8,504 shares Expires 2020-04-10 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 |
| October 30, 2018 Filed Oct 31, 2018 20:53 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 16,403 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-18-000103 · edgardoc.xml · derivative · entry 4 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,403 shares Expires 2018-11-04 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. Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 20:53 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 16,403 | $3.50 | $57,410.50 |
DisclosureSEC source: 0001227025-18-000103 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,650 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 · shares: Represents a cash exercise. Read SEC document |
| October 29, 2018 Filed Oct 31, 2018 20:53 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 5,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000103 · 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 · 5,500 shares Expires 2018-10-27 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: 50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. Read SEC document |
| October 29, 2018 Filed Oct 31, 2018 20:53 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,902 | $7.75 | $14,740.50 |
DisclosureSEC source: 0001227025-18-000103 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,247 F1 · shares: Represents shares reacquired 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 |
| October 29, 2018 Filed Oct 31, 2018 20:53 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 5,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000103 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,149 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 |
| August 28, 2018 Filed Aug 29, 2018 21:52 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 3,322 | $8.90 | $29,549.19 |
DisclosureSEC source: 0001227025-18-000093 · edgardoc.xml · nonDerivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,649 Read SEC document |
| August 28, 2018 Filed Aug 29, 2018 21:52 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 12,294 | $8.90 | $109,372.34 |
DisclosureSEC source: 0001227025-18-000093 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,971 Read SEC document |
| August 28, 2018 Filed Aug 29, 2018 21:52 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 7,261 | $8.93 | $64,861.79 |
DisclosureSEC source: 0001227025-18-000093 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,265 Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 23:34 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 4,800 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000084 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,400 Underlying: Common Stock · 4,800 shares Expires 2019-08-02 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: 30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. 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.