Accession Number: | 0001227025-21-000130 |
Date: | 2021-06-04 |
Issuer: | NEOPHOTONICS CORP (NPTN) |
Original Submission Date: |
EBY ELIZABETH LYNNE
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 |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-06-04 | M | 15,600 | a | $0.00 | 378,741 | direct | ||
COMMON STOCK | 2021-06-04 | D | 7,735 | d | $10.65 | 371,006 | 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 |
---|---|---|---|---|---|---|---|---|---|---|---|---|
RESTRICTED STOCK UNITS (RIGHT TO ACQUIRE) | 0.0 | 2021-06-04 | deemed execution date | M | 15,600 (d) | 2021-06-04 | common stock 15,600 | $0.00 | 0 | direct |
ID | footnote |
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f1 | balance includes non-reportable acquisition of shares through the company's 2010 employee stock purchase plan. |
f2 | represents shares withheld by the company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. |
f3 | each restricted stock unit represents a contingent right to receive one share of neophotonics common stock. |
f4 | 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. |