Key facts
- This page summarizes Timothy Storrs Jenks's Form 4 filing for NEOPHOTONICS CORP.
- 5 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 02 Aug 2022, 17:55.
Timothy Storrs Jenks - 30 Jul 2022 Form 4 Insider Report for NEOPHOTONICS CORP
- Reporting relationship
- CEO, Director
- Issuer ticker
- N/A
- Reported as of
- 30 Jul 2022
- Net transaction value
- -$111,450
- SEC form
- 4
- Accepted by SEC
- 02 Aug 2022, 17:55:04 UTC
- Prior SEC filing
- 27 Jul 2022
- Next SEC filing
- 05 Aug 2022
- Source filing
- View source filing
- Reporting owner signature
- By: /s/ Barbara Rogan For: Timothy S. Jenks
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Timothy Storrs Jenks filed Form 4 for NEOPHOTONICS CORP on 02 Aug 2022.
Change
- Previous filing in this sequence was filed on 27 Jul 2022.
- Current net transaction value: -$111,450.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
NPTN
transaction
Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +6,666
- Change %
- +1.5%
- Price
- $0.000000
- Shares after
- 463,450
- Date
- 30 Jul 2022
- Ownership
- Direct
NPTN
transaction
Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +25,000
- Change %
- +5.4%
- Price
- $0.000000
- Shares after
- 488,450
- Date
- 30 Jul 2022
- Ownership
- Direct
NPTN
transaction
Common Stock
Disposed to Issuer
- Transaction value
- $111,450
- Shares
- -6,970
- Change %
- -1.4%
- Price
- $15.99
- Shares after
- 481,480
- Date
- 02 Aug 2022
- Ownership
- Direct
- Footnotes
- F1
NPTN
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 3,076
- Date
- 30 Jul 2022
- Ownership
- As Trustee
NPTN
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 32,465
- Date
- 30 Jul 2022
- Ownership
- Trustee- CLAT
- Footnotes
- F2
NPTN
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 3,200
- Date
- 30 Jul 2022
- Ownership
- Trustee-Family Trust
NPTN
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 32,465
- Date
- 30 Jul 2022
- Ownership
- Trustee-Spouse CLAT
- Footnotes
- F3
NPTN
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 3,798
- Date
- 30 Jul 2022
- Ownership
- by Trust
- Footnotes
- F4
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
NPTN
transaction
Derivative
Restricted Stock Units (right to acquire)
Options Exercise
- Transaction value
- $0
- Shares
- -6,666
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 30 Jul 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 6,666
- Exercise price
- $0.000000
- Footnotes
- F5, F6
NPTN
transaction
Derivative
Restricted Stock Units (right to acquire)
Options Exercise
- Transaction value
- $0
- Shares
- -25,000
- Change %
- -50%
- Price
- $0.000000
- Shares after
- 25,000
- Date
- 30 Jul 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 25,000
- Exercise price
- $0.000000
- Footnotes
- F5, F7
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 7 footnotes
Footnote F1
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.
Footnote F2
Represents shares held by Timothy S. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022.
Footnote F3
Represents shares held by Atsuko K. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022.
Footnote F4
Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
Footnote F5
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
Footnote F6
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.
Footnote F7
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.