NeoPhotonics Corp (NPTN)

INFORMATION TECHNOLOGY: SEMICONDUCTORS
SIC: SEMICONDUCTORS & RELATED DEVICES

3081 ZANKER ROAD SAN JOSE, CA 95134

NeoPhotonics is a leading developer and manufacturer of lasers and optoelectronic solutions that transmit, receive and switch high-speed digital optical signals for Cloud and hyper-scale data center internet content provider and telecom networks. The Company's products enable cost-effective, high-speed over distance data transmission and efficient allocation of bandwidth in optical networks. NeoPhotonics maintains headquarters in San Jose, California and ISO 9001:2015 certified engineering and manufacturing facilities in Silicon Valley (USA), Japan and China.

Data as of 2021-06-19 11:51:09 -0400
Market Cap514.837 Million Shares Outstanding51.33 Million Avg 30-day Volume534.936 Thousand
P/E Ratio Dividend Yield EPS
Price/Sales Debt to Equity EBITDA
Price to Book Value0.0 Forward PE Enterprise Value
Total Cash Current Debt Gross Profit
BETA1.50041 52-week High/Low14.14 / 5.75 Next Earnings Date2021-08-03 Price to Cash FLow (P/CF) -9999999.0
Data provided by IEX Cloud
View SEC Filings from NPTN instead.
Q1 2021 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 4 2 100.0% 4 (0.23%) 2 (0.12%) 100.0%
Funds Holding: 144 138 4.35% 54 (3.17%) 57 (3.31%) -5.26%
13F shares: 42.98 Million 42.534 Million 1.05% 20.818 Million 21.949 Million -5.15%
% Ownership 84.6361 84.8189 -0.22% 40.9947 43.7688 -6.34%
New Positions: 29 24 20.83% 11 12 -8.33%
Increased Positions 43 49 -12.24% 12 18 -33.33%
Closed Positions 21 25 -16.0% 14 10 40.0%
Reduced Positions 48 46 4.35% 25 23 8.7%
Total Calls 196.842 Thousand 168.121 Thousand 17.08% 124.9 Thousand 77 Thousand 62.21%
Total Puts 99.893 Thousand 105.964 Thousand -5.73% 27.8 Thousand 38.9 Thousand -28.53%
PUT/CALL Ratio 0.51 0.63 -19.05% 0.22 0.51 -56.86%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding NPTN (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding NPTN BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

112.4 Thousand total shares from 3 transactions

Exercise Derivative Conversion (M)

234.5 Thousand total shares from 12 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

JENKS TIMOTHY STORRS CEO

  • Officer
  • Director
552,802 2021-06-04 9

WUPEN YUEN VICE PRESIDENT GLOBAL PRODUCT

  • Officer
226,831 2021-06-04 8

CHEUNG CHIYUE CHIEF OPERATING OFFICER

  • Officer
0 2021-06-04 9

SOPHIE MICHAEL J

  • Director
23,822 2021-06-04 4

ABBE CHARLES J

  • Director
135,063 2021-06-04 3

RAMASWAMI RAJIV

  • Director
40,438 2021-06-04 3

TARAZI IHAB SAAD

  • Director
29,746 2021-06-04 2

EBY ELIZABETH LYNNE SVP, CFO

  • Officer
  • SVP, CFO
371,006 2021-06-04 8

CARANO BANDEL L

  • Director
16,082 2021-06-04 3

LI YANBING

  • Director
15,983 2021-06-04 2

CHAINEY KIMBERLY

  • Director
12,262 2021-06-01 2

YEE YANG CHIAH SENIOR VP, GLOBAL SALES

  • Officer
127,252 2021-04-09 6

AKHANOV DMITRY

  • Director
24,236 2019-06-04 0

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

OAK INVESTMENT PARTNERS XI L P

  • Director
  • 10% Owner
60,442 2019-03-05 3

SITLER BENJAMIN LEE SVP, GLOBAL SALES

  • Officer
121,211 2018-02-28 0

RUSNANO

  • 10% Owner
4,222,905 2017-06-01 0

WALLIN RAY SVP, CFO

  • Officer
57,982 2017-05-15 0

TING LEE SEN

  • Director
13,462 2016-06-07 0

KWAN ALLAN CHUNG-YUEN

  • Director
0 2015-07-14 0

CARANO BANDEL L

OAK INVESTMENT PARTNERS X LTD PARTNERSHIP

OAK X AFFILIATES FUND LP

OAK INVESTMENT PARTNERS IX L P

OAK IX AFFILIATES FUND LP

OAK IX AFFILIATES FUND A LP

  • Director
  • 10% Owner
5,470,780 2015-05-27 0

LIPSCOMB GEORGE FERRIS PBU, MANAGING DIRECTOR

  • Officer
0 2014-12-18 0

HOAGLAND CAL R INTERIM CFO

  • Officer
0 2013-08-29 0

FAY JAMES DANIEL SVP AND CFO

  • Officer
17,904 2013-07-31 0

POLIKARPOV SERGEY

  • Director
3,090 2013-06-11 0

OLSSON BJORN WILHELM

  • Director
0 2013-06-11 0

THOMAS T PETER

  • Director
0 2011-06-17 0

DRAPER FISHER JURVETSON FUND VII, L.P.

DRAPER FISHER ASSOCIATES III ANNEX FUND LP

DRAPER ASSOCIATES L P

DRAPER FISHER JURVETSON PARTNERS VII, LLC

DRAPER FISHER PARTNERS LLC

DRAPER GC PARTNERS, LLC

  • FORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNER
No longer subject to file 2011-02-07 0

JURVETSON STEPHEN T

  • Director
1,666,495 2011-02-07 0

PENG YAT BUN

  • Director
850,644 2011-02-07 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

CHEUNG CHIYUE - Officer CHIEF OPERATING OFFICER

2021-06-08 18:01:39 -0400 2021-06-07 S 14,400 $10.52 d 0 direct 0.2828 1.7908 3.1103 4 0.0 1

JENKS TIMOTHY STORRS - Director - Officer CEO

2021-06-08 17:23:15 -0400 2021-06-04 D 17,849 $10.65 d 542,728 direct 0.2828 1.7908 3.1103 4 0.0 1

SOPHIE MICHAEL J - Director

2021-06-08 17:11:38 -0400 2021-06-04 M 5,228 a 23,822 direct 0.2828 1.7908 3.1103 4 0.0 1

ABBE CHARLES J - Director

2021-06-08 17:00:47 -0400 2021-06-04 M 5,228 d 0 direct

EBY ELIZABETH LYNNE - Officer SVP, CFO SVP, CFO

2021-06-08 16:55:40 -0400 2021-06-04 D 7,735 $10.65 d 371,006 direct 0.2828 1.7908 3.1103 4 0.0 1

CARANO BANDEL L - Director

2021-06-08 16:48:23 -0400 2021-06-04 M 5,228 a 16,082 direct 0.2828 1.7908 3.1103 4 0.0 1

CHEUNG CHIYUE - Officer CHIEF OPERATING OFFICER

2021-06-08 18:01:39 -0400 2021-06-04 M 14,400 d 0 direct

LI YANBING - Director

2021-06-08 17:44:38 -0400 2021-06-04 M 5,228 d 0 direct

WUPEN YUEN - Officer VICE PRESIDENT GLOBAL PRODUCT

2021-06-08 17:37:55 -0400 2021-06-04 D 4,980 $10.65 d 226,831 direct 0.2828 1.7908 3.1103 4 0.0 1

RAMASWAMI RAJIV - Director

2021-06-08 17:17:25 -0400 2021-06-04 M 5,228 a 40,438 direct 0.2828 1.7908 3.1103 4 0.0 1

JENKS TIMOTHY STORRS - Director - Officer CEO

2021-06-08 17:23:15 -0400 2021-06-04 M 36,000 a 560,577 direct 0.2828 1.7908 3.1103 4 0.0 1

TARAZI IHAB SAAD - Director

2021-06-08 17:07:07 -0400 2021-06-04 M 5,228 d 0 direct

ABBE CHARLES J - Director

2021-06-08 17:00:47 -0400 2021-06-04 M 5,228 a 135,063 direct 0.2828 1.7908 3.1103 4 0.0 1

EBY ELIZABETH LYNNE - Officer SVP, CFO SVP, CFO

2021-06-08 16:55:40 -0400 2021-06-04 M 15,600 a 378,741 direct 0.2828 1.7908 3.1103 4 0.0 1

LI YANBING - Director

2021-06-08 17:44:38 -0400 2021-06-04 M 5,228 a 15,983 direct 0.2828 1.7908 3.1103 4 0.0 1

WUPEN YUEN - Officer VICE PRESIDENT GLOBAL PRODUCT

2021-06-08 17:37:55 -0400 2021-06-04 M 14,400 a 231,811 direct 0.2828 1.7908 3.1103 4 0.0 1

JENKS TIMOTHY STORRS - Director - Officer CEO

2021-06-08 17:23:15 -0400 2021-06-04 M 36,000 d 0 direct

SOPHIE MICHAEL J - Director

2021-06-08 17:11:38 -0400 2021-06-04 M 5,228 d 0 direct

TARAZI IHAB SAAD - Director

2021-06-08 17:07:07 -0400 2021-06-04 M 5,228 a 29,746 direct 0.2828 1.7908 3.1103 4 0.0 1

EBY ELIZABETH LYNNE - Officer SVP, CFO SVP, CFO

2021-06-08 16:55:40 -0400 2021-06-04 M 15,600 d 0 direct

CARANO BANDEL L - Director

2021-06-08 16:48:23 -0400 2021-06-04 M 5,228 d 0 direct

CHEUNG CHIYUE - Officer CHIEF OPERATING OFFICER

2021-06-08 18:01:39 -0400 2021-06-04 M 14,400 a 14,400 direct 0.2828 1.7908 3.1103 4 0.0 1

WUPEN YUEN - Officer VICE PRESIDENT GLOBAL PRODUCT

2021-06-08 17:37:55 -0400 2021-06-04 M 14,400 d 0 direct

RAMASWAMI RAJIV - Director

2021-06-08 17:17:25 -0400 2021-06-04 M 5,228 d 0 direct

RAMASWAMI RAJIV - Director

2021-06-03 18:19:11 -0400 2021-06-01 A 4,621 a 4,621 direct

CHAINEY KIMBERLY - Director

2021-06-03 17:20:26 -0400 2021-06-01 A 7,641 a 7,641 direct

TARAZI IHAB SAAD - Director

2021-06-03 17:10:33 -0400 2021-06-01 A 4,621 a 4,621 direct

ABBE CHARLES J - Director

2021-06-03 16:56:15 -0400 2021-06-01 A 7,641 a 7,641 direct

LI YANBING - Director

2021-06-03 18:26:37 -0400 2021-06-01 A 4,621 a 4,621 direct

RAMASWAMI RAJIV - Director

2021-06-03 18:19:11 -0400 2021-06-01 A 7,641 a 7,641 direct

SOPHIE MICHAEL J - Director

2021-06-03 17:27:20 -0400 2021-06-01 A 4,621 a 4,621 direct

TARAZI IHAB SAAD - Director

2021-06-03 17:10:33 -0400 2021-06-01 A 7,641 a 7,641 direct

CARANO BANDEL L - Director

2021-06-03 16:47:26 -0400 2021-06-01 A 4,621 a 4,621 direct

LI YANBING - Director

2021-06-03 18:26:37 -0400 2021-06-01 A 7,641 a 7,641 direct

CHAINEY KIMBERLY - Director

2021-06-03 17:20:26 -0400 2021-06-01 A 4,621 a 4,621 direct

SOPHIE MICHAEL J - Director

2021-06-03 17:27:20 -0400 2021-06-01 A 7,641 a 7,641 direct

ABBE CHARLES J - Director

2021-06-03 16:56:15 -0400 2021-06-01 A 4,621 a 4,621 direct

CARANO BANDEL L - Director

2021-06-03 16:47:26 -0400 2021-06-01 A 7,641 a 7,641 direct

CARANO BANDEL L - Director

2021-06-01 16:38:24 -0400 2021-05-27 M 7,407 $10.26 d 0 direct

CARANO BANDEL L - Director

2021-06-01 16:38:24 -0400 2021-05-27 S 7,407 $10.26 d 10,854 direct 1.3645 3.4113 5.7505 5 0.0 1

CARANO BANDEL L - Director

2021-06-01 16:38:24 -0400 2021-05-27 M 7,407 $6.75 a 18,261 direct 1.3645 3.4113 5.7505 5 0.0 1

EBY ELIZABETH LYNNE - Officer SVP, CFO SVP, CFO

2021-05-10 18:04:18 -0400 2021-05-06 M 115,312 $5.89 a 450,482 direct -6.9223 -0.426 0.0 1 -6.9223 2

EBY ELIZABETH LYNNE - Officer SVP, CFO SVP, CFO

2021-05-10 18:04:18 -0400 2021-05-06 M 115,312 d 23,063 direct

EBY ELIZABETH LYNNE - Officer SVP, CFO SVP, CFO

2021-05-10 18:04:18 -0400 2021-05-06 S 90,558 $8.99 d 359,924 direct -6.9223 -0.426 0.0 1 -6.9223 2

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
NEOPHOTONICS CORP NPTN 2021-06-23 18:45:02 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 18:15:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 17:45:02 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 17:15:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 16:45:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 16:15:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 15:45:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 15:15:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 14:45:03 UTC -0.4359 0.5159 3100000
NEOPHOTONICS CORP NPTN 2021-06-23 14:15:02 UTC -0.4359 0.5159 3000000
NEOPHOTONICS CORP NPTN 2021-06-23 13:45:03 UTC -0.4359 0.5159 3000000
NEOPHOTONICS CORP NPTN 2021-06-23 13:15:03 UTC -0.4359 0.5159 3000000
NEOPHOTONICS CORP NPTN 2021-06-23 12:45:03 UTC -0.4359 0.5159 3000000
NEOPHOTONICS CORP NPTN 2021-06-22 22:15:03 UTC -0.4359 0.5159 3100000
NEOPHOTONICS CORP NPTN 2021-06-22 21:45:03 UTC -0.4359 0.5159 3100000
NEOPHOTONICS CORP NPTN 2021-06-22 21:15:02 UTC -0.4359 0.5159 3100000
NEOPHOTONICS CORP NPTN 2021-06-22 20:45:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-22 20:15:04 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-22 19:45:03 UTC -0.3606 0.4406 3100000
NEOPHOTONICS CORP NPTN 2021-06-22 19:15:02 UTC -0.3606 0.4406 3100000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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