Accession Number: | 0001227025-21-000124 |
Date: | 2021-06-01 |
Issuer: | NEOPHOTONICS CORP (NPTN) |
Original Submission Date: |
RAMASWAMI RAJIV
3081 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 |
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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 |
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NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) | 10.17 | 2021-06-01 | deemed execution date | A | 7,641 (a) | 2031-05-31 | common stock 7,641 | $10.17 | 7,641 | direct | ||
RESTRICTED STOCK UNITS (RIGHT TO ACQUIRE) | 0.0 | 2021-06-01 | deemed execution date | A | 4,621 (a) | 2022-06-01 | common stock 4,621 | $0.00 | 4,621 | direct |
ID | footnote |
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f1 | 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 directors of the company. |
f2 | each restricted stock unit represents a contingent right to receive one share of neophotonics common stock. |
f3 | this rsu shall vest on the 12 month anniversary of the grant date, so long as the reporting person remains a member of the board of directors of the company. |