Accession Number: | 0001227025-18-000036 |
Date: | 2018-05-14 |
Issuer: | NEOPHOTONICS CORP (NPTN) |
Original Submission Date: |
WUPEN YUEN
2911 ZANKER RD
SAN JOSE, CA 95134
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2018-05-14 | M | 403 | a | $3.50 | 47,129 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) | 3.5 | 2018-05-14 | deemed execution date | M | 403 (d) | 2017-01-01 | 2018-05-14 | common stock 403 | $3.50 | 0 | direct |
ID | footnote |
---|---|
f1 | represents a cash exercise. |