Statement of Changes in Beneficial Ownership (4)
02 Agosto 2022 - 6:55PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Jenks Timothy Storrs |
2. Issuer Name and Ticker or Trading Symbol
NEOPHOTONICS CORP
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NPTN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO |
(Last)
(First)
(Middle)
3081 ZANKER RD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/30/2022 |
(Street)
SAN JOSE, CA 95134
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 7/30/2022 | | M | | 6666 | A | $0.0 | 463450 | D | |
Common Stock | 7/30/2022 | | M | | 25000 | A | $0.0 | 488450 | D | |
Common Stock | 8/2/2022 | | D | | 6970 | D | $15.99 (1) | 481480 | D | |
Common Stock | | | | | | | | 3076 | I | As Trustee |
Common Stock | | | | | | | | 32465 | I | Trustee- CLAT (2) |
Common Stock | | | | | | | | 3200 | I | Trustee-Family Trust |
Common Stock | | | | | | | | 32465 | I | Trustee-Spouse CLAT (3) |
Common Stock | | | | | | | | 3798 | I | by Trust (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (right to acquire) | $0.0 (5) | 7/30/2022 | | M | | | 6666 | 7/30/2022 (6) | 7/30/2022 | Common Stock | 6666 | $0.0 | 0 | D | |
Restricted Stock Units (right to acquire) | $0.0 (5) | 7/30/2022 | | M | | | 25000 | 7/30/2022 (7) | 7/30/2023 | Common Stock | 25000 | $0.0 | 25000 | D | |
Explanation of Responses: |
(1) | 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. |
(2) | Represents shares held by Timothy S. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022. |
(3) | Represents shares held by Atsuko K. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022. |
(4) | Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996. |
(5) | Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. |
(6) | The shares vest in three equal annual installments, 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. |
(7) | 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jenks Timothy Storrs 3081 ZANKER RD SAN JOSE, CA 95134 | X |
| CEO |
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Signatures
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By: /s/ Barbara Rogan For: Timothy S. Jenks | | 8/2/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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