Accession Number: | 0001227025-19-000097 |
Date: | 2019-11-14 |
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 | 2019-11-14 | M | 11,200 | a | $3.50 | 106,685 | direct | ||
COMMON STOCK | 2019-11-14 | S | 11,200 | d | $8.53 | 95,485 | direct | ||
COMMON STOCK | 2019-11-14 | S | 4,063 | d | $8.54 | 91,422 | 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 | 2019-11-14 | deemed execution date | M | 11,200 (d) | 2017-01-01 | 2020-01-26 | common stock 11,200 | $3.50 | 0 | direct |
ID | footnote |
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