Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lumentum Holdings Inc.LITE · Entity 2957 | PRESIDENT, GLOBAL BUS. UNITS | September 28, 2026 | October 01, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Lumentum Holdings Inc.
Report date September 28, 2026 · Filed October 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 108,320 |
Ending reported balance
After 2026-09-29 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-28 · Sale · Disposed 500 · Balance 108,627 F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Row 2 · 2026-09-29 · Sale · Disposed 307 · Balance 108,320 F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
NEOPHOTONICS CORP
Report date August 03, 2022 · Filed August 05, 2022
Section 16 reporting ended · disclosed 2022-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 1
1 source rowRow 1 · 2022-08-03 · Disposition to issuer · Disposed 207,878 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.30 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-08-03 · Disposition to issuer · Disposed 40,000 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.59 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-08-03 · Disposition to issuer · Disposed 25,964 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.07 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-08-03 · Disposition to issuer · Disposed 9,667 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Incentive Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.27 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-08-03 · Disposition to issuer · Disposed 8,268 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.11 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-08-03 · Disposition to issuer · Disposed 68,000 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.59 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-08-03 · Disposition to issuer · Disposed 7,036 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.07 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-08-03 · Disposition to issuer · Disposed 19,333 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.27 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-08-03 · Disposition to issuer · Disposed 21,732 · Balance 0 F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement. |
| Restricted Stock Unit (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-08-03 · Disposition to issuer · Disposed 90,525 · Balance 0 F3: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement. |
| Performance Restricted Stock Unit (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-08-03 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-08-03 · Disposition to issuer · Disposed 36,900 · Balance 0 F4: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration").
F2: Options to purchase common stock of the Issuer, outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Unvested options to purchase common stock of the Issuer, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into options to purchase common stock of Lumentum, substantially on the same terms and conditions applicable to such cancelled option, with the number of options to purchase common stock of Lumentum and the exercise price of such option adjusted pursuant to the terms of the Merger Agreement.
F3: Restricted Stock Unit Awards of the Issuer ("Issuer RSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer RSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into restricted stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer RSUs, with the number of Lumentum restricted stock units adjusted pursuant to the terms of the Merger Agreement.
F4: Performance Stock Unit Awards of the Issuer ("Issuer PSUs"), outstanding and vested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Unvested Issuer PSUs, as of immediately prior to the Closing Date and which do not vest as a result of the consummation of the Merger, were cancelled and converted into performance stock unit awards of Lumentum, substantially on the same terms and conditions applicable to such cancelled unvested Issuer PSUs, with the number of Lumentum performance stock units adjusted pursuant to the terms of the Merger Agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 02, 2018 Filed Aug 3, 2018 23:34 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,660 | $6.42 | $10,657.20 |
DisclosureSEC source: 0001227025-18-000084 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,526 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, 2018 Filed Aug 3, 2018 23:34 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 4,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000084 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,186 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, 2018 Filed Aug 1, 2018 22:55 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: 0001227025-18-000076 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,240 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, 2018 Filed Aug 1, 2018 22:55 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,944 | $6.37 | $12,383.28 |
DisclosureSEC source: 0001227025-18-000076 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,386 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, 2018 Filed Aug 1, 2018 22:55 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 5,620 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000076 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,330 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 25, 2018 Filed Jul 27, 2018 01:32 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 65,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000069 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2025-07-01 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F2 · 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 |
| June 10, 2018 Filed Jun 12, 2018 21:12 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 36,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000059 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Underlying: Common Stock · 36,000 shares Expires 2021-06-04 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. F2 · 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 |
| May 14, 2018 Filed May 16, 2018 01:15 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 403 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-18-000036 · 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 · 403 shares Expires 2018-05-14 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 14, 2018 Filed May 16, 2018 01:15 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 403 | $3.50 | $1,410.50 |
DisclosureSEC source: 0001227025-18-000036 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,129 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 |
| April 27, 2018 Filed May 1, 2018 21:40 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: 0001227025-18-000025 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,500 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. F4 · derivative.expiration_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 |
| April 27, 2018 Filed May 1, 2018 21:40 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,995 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000025 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,726 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 27, 2018 Filed May 1, 2018 21:40 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 5,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-18-000025 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,721 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 06, 2017 Filed Oct 10, 2017 22:01 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 8,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001227025-17-000112 · 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 · 8,000 shares Expires 2017-10-23 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 06, 2017 Filed Oct 10, 2017 22:01 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 8,000 | $3.50 | $28,000.00 |
DisclosureSEC source: 0001227025-17-000112 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,650 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. F1 · shares: Represents a cash exercise. Read SEC document |
| August 02, 2017 Filed Aug 4, 2017 20:22 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: 0001227025-17-000103 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,200 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. 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, 2017 Filed Aug 4, 2017 20:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 1,804 | $7.66 | $13,818.64 |
DisclosureSEC source: 0001227025-17-000103 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,650 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, 2017 Filed Aug 4, 2017 20:22 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 4,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-17-000103 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,454 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, 2017 Filed Aug 2, 2017 21:00 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantRestricted Stock Units (right to acquire) · Derivative | 16,860 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-17-000093 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,860 Underlying: Common Stock · 16,860 shares Expires 2020-07-31 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 31, 2017 Filed Aug 2, 2017 21:00 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 19,333 | $0.00 Strike: $8.07 | $0.00 |
DisclosureSEC source: 0001227025-17-000093 · edgardoc.xml · derivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,333 Underlying: Common Stock · 19,333 shares Expires 2027-07-31 F1 · 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. Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 21:00 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | GrantIncentive Stock Option (right to buy) · Derivative | 9,667 | $0.00 Strike: $8.07 | $0.00 |
DisclosureSEC source: 0001227025-17-000093 · edgardoc.xml · derivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,667 Underlying: Common Stock · 9,667 shares Expires 2027-07-31 F1 · 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. Read SEC document |
| May 12, 2017 Filed May 16, 2017 21:00 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 22,000 | $8.41 Strike: $3.50 | $185,070.60 |
DisclosureSEC source: 0001227025-17-000059 · 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 · 22,000 shares Expires 2017-05-15 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: This stock option is subjected to expiring on May 15, 2017. Read SEC document |
| May 12, 2017 Filed May 16, 2017 21:00 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | SaleCommon Stock | 22,000 | $8.41 | $185,070.60 |
DisclosureSEC source: 0001227025-17-000059 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,743 Read SEC document |
| May 12, 2017 Filed May 16, 2017 21:00 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 22,000 | $3.50 | $77,000.00 |
DisclosureSEC source: 0001227025-17-000059 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,743 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 27, 2017 Filed May 1, 2017 23:31 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionRestricted Stock Units (right to acquire) · Derivative | 11,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001227025-17-000037 · edgardoc.xml · derivative · entry 3 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 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. F4 · derivative.expiration_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 |
| April 27, 2017 Filed May 1, 2017 23:31 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Disposition to issuerCommon Stock | 4,134 | $7.95 | $32,865.30 |
DisclosureSEC source: 0001227025-17-000037 · edgardoc.xml · nonDerivative · entry 2 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,743 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 27, 2017 Filed May 1, 2017 23:31 UTC | NEOPHOTONICS CORP NPTN · Entity 124843 | Exercise / conversionCommon Stock | 11,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001227025-17-000037 · edgardoc.xml · nonDerivative · entry 1 Wupen Yuen · CIK 0001489550 · VICE PRESIDENT GLOBAL PRODUCT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,877 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.