organization · Reporting owner

Oak Investment Partners XI L P

Disclosed activity across 4 companies

Tapewire entity: 136215
SEC CIK: 0001299239

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Airspan Networks Holdings Inc.MIMO · Entity 110488	10% owner	August 13, 2021	August 17, 2021
LEAF GROUP LTD.LEAF · Entity 138166	10% owner	May 01, 2020	May 05, 2020
NEOPHOTONICS CORPNPTN · Entity 124843	10% owner	March 05, 2019	March 07, 2019

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.

Airspan Networks Holdings Inc.

Report date August 13, 2021 · Filed August 17, 2021

Jointly reported with CARANO BANDEL L, Oak Investment Partners XIII, Limited Partnership

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	25,038,852	Reported balance After 2021-08-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-08-13 · Other · Acquired 25,038,852 · Balance 25,038,852 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	3,400,207	Reported balance After 2021-08-13 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-08-13 · Other · Acquired 3,400,207 · Balance 3,400,207 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	3,600,207	Reported balance After 2021-08-13 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2021-08-13 · Purchase · Acquired 200,000 · Balance 3,600,207 F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2023-08-13	IndirectSee footnote	1,264,993	Reported balance After 2021-08-13 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2021-08-13 · Other · Acquired 1,264,993 · Balance 1,264,993 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2023-08-13	IndirectSee footnote	171,782	Reported balance After 2021-08-13 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2021-08-13 · Other · Acquired 171,782 · Balance 171,782 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2023-08-13	IndirectSee footnote	1,264,993	Reported balance After 2021-08-13 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2021-08-13 · Other · Acquired 1,264,993 · Balance 1,264,993 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2023-08-13	IndirectSee footnote	171,782	Reported balance After 2021-08-13 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2021-08-13 · Other · Acquired 171,782 · Balance 171,782 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.50 · Expires 2023-08-13	IndirectSee footnote	1,264,993	Reported balance After 2021-08-13 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2021-08-13 · Other · Acquired 1,264,993 · Balance 1,264,993 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.50 · Expires 2023-08-13	IndirectSee footnote	171,782	Reported balance After 2021-08-13 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2021-08-13 · Other · Acquired 171,782 · Balance 171,782 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub.

F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.

F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger.

F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.

LEAF GROUP LTD.

Report date May 01, 2020 · Filed May 05, 2020

Jointly reported with OAK INVESTMENT PARTNERS XII L P

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note	4,023,924	Reported balance After 2020-05-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-05-01 · Sale · Disposed 47,844 · Balance 4,023,924 F1: Represents 47,844, 196,000 and 110,250 shares of Common Stock sold by Oak Investment Partners XII, L.P ("Oak XII"). Oak Associates XII, L.L.C. is the General Partner of Oak XII and may be deemed to beneficially own the reported securities. F2: Represents 2,948,287 shares of Common Stock beneficially owned by Oak Investment Partners XI, L.P. ("Oak XI"), and 1,075,637 shares of Common Stock beneficially owned by Oak XII.
Common StockSEC Table I · non-derivative	IndirectSee Note	3,827,924	Reported balance After 2020-05-04 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2020-05-04 · Sale · Disposed 196,000 · Balance 3,827,924 F1: Represents 47,844, 196,000 and 110,250 shares of Common Stock sold by Oak Investment Partners XII, L.P ("Oak XII"). Oak Associates XII, L.L.C. is the General Partner of Oak XII and may be deemed to beneficially own the reported securities. F3: Represents 2,948,287 shares of Common Stock beneficially owned by Oak Investment Partners XI, L.P. ("Oak XI"), and 879,637 shares of Common Stock beneficially owned by Oak XII.
Common StockSEC Table I · non-derivative	IndirectSee Note	3,717,674	Reported balance After 2020-05-05 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2020-05-05 · Sale · Disposed 110,250 · Balance 3,717,674 F1: Represents 47,844, 196,000 and 110,250 shares of Common Stock sold by Oak Investment Partners XII, L.P ("Oak XII"). Oak Associates XII, L.L.C. is the General Partner of Oak XII and may be deemed to beneficially own the reported securities. F4: Represents 2,948,287 shares of Common Stock beneficially owned by Oak Investment Partners XI, L.P. ("Oak XI"), and 769,387 shares of Common Stock beneficially owned by Oak XII.

Filing footnotes · ownership attribution and instrument terms

F1: Represents 47,844, 196,000 and 110,250 shares of Common Stock sold by Oak Investment Partners XII, L.P ("Oak XII"). Oak Associates XII, L.L.C. is the General Partner of Oak XII and may be deemed to beneficially own the reported securities.

F2: Represents 2,948,287 shares of Common Stock beneficially owned by Oak Investment Partners XI, L.P. ("Oak XI"), and 1,075,637 shares of Common Stock beneficially owned by Oak XII.

F3: Represents 2,948,287 shares of Common Stock beneficially owned by Oak Investment Partners XI, L.P. ("Oak XI"), and 879,637 shares of Common Stock beneficially owned by Oak XII.

F4: Represents 2,948,287 shares of Common Stock beneficially owned by Oak Investment Partners XI, L.P. ("Oak XI"), and 769,387 shares of Common Stock beneficially owned by Oak XII.

NEOPHOTONICS CORP

Report date March 05, 2019 · Filed March 07, 2019

Jointly reported with CARANO BANDEL L, OAK INVESTMENT PARTNERS IX L P, OAK IX AFFILIATES FUND LP, OAK IX AFFILIATES FUND A LP, OAK INVESTMENT PARTNERS X LTD PARTNERSHIP, OAK X AFFILIATES FUND LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note	60,442	Reported balance After 2019-03-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-03-05 · Other · Disposed 5,571,335 · Balance 60,442 F1: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F2: Consists of Director Option to purchase 19,452 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 206 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 467 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 38,326 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 616 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 1,375 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F3: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P.

F2: Consists of Director Option to purchase 19,452 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 206 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 467 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 38,326 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 616 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 1,375 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI").

F3: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

CarParts.com, Inc.

Report date May 12, 2017 · Filed May 15, 2017

Jointly reported with HARMAN FREDERIC W

Section 16 reporting ended · disclosed 2017-05-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note (3)	5,017	Reported balance After 2017-05-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-05-15 · Other · Disposed 10,806,405 · Balance 5,017 F1: On May 15, 2017, Oak Investment Partners XI, L.P., a Delaware limited partnership, ("Oak XI, LP") made an in-kind distribution, without any additional consideration, of common stock of the Issuer to the limited partners of Oak XI, LP.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note	10,811,422	Reported balance After 2017-05-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-05-12 · Conversion · Disposed 1,379,310 · Balance 10,811,422 F2: The Series A Convertible Preferred Stock has been converted into Common Stock of the Issuer at the option of Oak XI, LP on May 12, 2017. F3: The reported securities are directly held by Oak XI, LP. Oak Associates XI, L.L.C. ("Oak Associates"), as the general partner of Oak XI, LP, may be deemed to beneficially own the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: On May 15, 2017, Oak Investment Partners XI, L.P., a Delaware limited partnership, ("Oak XI, LP") made an in-kind distribution, without any additional consideration, of common stock of the Issuer to the limited partners of Oak XI, LP.

F2: The Series A Convertible Preferred Stock has been converted into Common Stock of the Issuer at the option of Oak XI, LP on May 12, 2017.

F3: The reported securities are directly held by Oak XI, LP. Oak Associates XI, L.L.C. ("Oak Associates"), as the general partner of Oak XI, LP, may be deemed to beneficially own the reported securities.

Transaction history

JSON API

Purchases/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
March 05, 2019 Filed Mar 7, 2019 16:11 UTC	NEOPHOTONICS CORP NPTN · Entity 124843	OtherCommon Stock	5,571,335	Not disclosed	Not disclosed	Disclosure SEC source: 0001183755-19-000003 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 60,442 F1 · kind: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F1 · shares: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F1 · price: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F2 · balance_after: Consists of Director Option to purchase 19,452 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 206 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 467 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 38,326 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 616 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 1,375 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F3 · ownership.nature: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities. Read SEC document
June 05, 2018 Filed Jun 7, 2018 13:57 UTC	NEOPHOTONICS CORP NPTN · Entity 124843	GrantStock Option (Right to Buy) · Derivative	12,486	Not disclosed Strike: $6.78	Not disclosed	Disclosure SEC source: 0001183755-18-000002 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 60,442 Underlying: Common Stock · 12,486 shares Expires 2028-06-05 F2 · price: Not applicable - This option was issued pursuant to the 2010 Equity Incentive Plan and in accordance with the the Issuer's Non-Employee Director Compensation Policy. F1 · derivative.exercise_date: This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Director of the Issuer. F3 · ownership.direct: Includes Director Option to purchase 3,637 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 39 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 87 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 8,364 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 134 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 225 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F4 · ownership.nature: Includes 47,956 Director Options, which are held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities. Read SEC document
June 01, 2017 Filed Jun 5, 2017 12:30 UTC	NEOPHOTONICS CORP NPTN · Entity 124843	GrantStock Option (Right to Buy) · Derivative	7,521	Not disclosed Strike: $9.20	Not disclosed	Disclosure SEC source: 0001183755-17-000004 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 47,956 Underlying: Common Stock · 7,521 shares Expires 2027-06-01 F2 · price: Not applicable - This option was issued pursuant to the 2010 Equity Incentive Plan and in accordance with the the Issuer's Non-Employee Director Compensation Policy. F1 · derivative.exercise_date: This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Director of the Issuer. F3 · ownership.direct: Includes Director Option to purchase 2,191 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 23 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 52 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 5,038 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 81 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 136 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F4 · ownership.nature: Includes 40,435 Director Options, which are held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities. Read SEC document
May 15, 2017 Filed May 15, 2017 16:33 UTC	CarParts.com, Inc. PRTS · Entity 7113	OtherCommon Stock	10,806,405	Not disclosed	Not disclosed	Disclosure SEC source: 0001183748-17-000002 · edgar.xml · nonDerivative · entry 1 HARMAN FREDERIC W · CIK 0001183748 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Note (3) Disclosed balance after: 5,017 F1 · kind: On May 15, 2017, Oak Investment Partners XI, L.P., a Delaware limited partnership, ("Oak XI, LP") made an in-kind distribution, without any additional consideration, of common stock of the Issuer to the limited partners of Oak XI, LP. F1 · price: On May 15, 2017, Oak Investment Partners XI, L.P., a Delaware limited partnership, ("Oak XI, LP") made an in-kind distribution, without any additional consideration, of common stock of the Issuer to the limited partners of Oak XI, LP. Read SEC document
May 12, 2017 Filed May 15, 2017 16:33 UTC	CarParts.com, Inc. PRTS · Entity 7113	ConversionSeries A Convertible Preferred Stock · Derivative	1,379,310	Not disclosed	Not disclosed	Disclosure SEC source: 0001183748-17-000002 · edgar.xml · derivative · entry 2 HARMAN FREDERIC W · CIK 0001183748 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 10,811,422 Underlying: Common Stock · 1,379,310 shares Expires not disclosed 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: The Series A Convertible Preferred Stock has been converted into Common Stock of the Issuer at the option of Oak XI, LP on May 12, 2017. F2 · price: The Series A Convertible Preferred Stock has been converted into Common Stock of the Issuer at the option of Oak XI, LP on May 12, 2017. F2 · derivative.exercise_date: The Series A Convertible Preferred Stock has been converted into Common Stock of the Issuer at the option of Oak XI, LP on May 12, 2017. F2 · derivative.expiration_date: The Series A Convertible Preferred Stock has been converted into Common Stock of the Issuer at the option of Oak XI, LP on May 12, 2017. F3 · ownership.nature: The reported securities are directly held by Oak XI, LP. Oak Associates XI, L.L.C. ("Oak Associates"), as the general partner of Oak XI, LP, may be deemed to beneficially own the reported securities. Read SEC document
December 31, 2016 Filed Mar 8, 2017 16:37 UTC	CarParts.com, Inc. PRTS · Entity 7113	OtherCommon Stock	12,437	Not disclosed	Not disclosed	Disclosure SEC source: 0001183748-17-000001 · edgar.xml · nonDerivative · entry 1 HARMAN FREDERIC W · CIK 0001183748 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 9,432,112 F1 · date: On March 31, 2016, and June 30, 2016, the Issuer distributed shares of Common Stock of 7,420 and 5,017, respectively, as a dividend to Oak Investment Partners XI, Limited Partnership ("Oak XI, L.P."), which resulted from Series A Convertible Preferred Stock. F1 · kind: On March 31, 2016, and June 30, 2016, the Issuer distributed shares of Common Stock of 7,420 and 5,017, respectively, as a dividend to Oak Investment Partners XI, Limited Partnership ("Oak XI, L.P."), which resulted from Series A Convertible Preferred Stock. F2 · price: Not applicable. F3 · ownership.nature: The reported securities are directly held by Oak XI, L.P. Oak Associates XI, L.L.C., as the general partner of Oak XI, L.P. may be deemed to beneficially own the reported securities. 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.