Abbe charles j - direct investment history in Neophotonics corp

Filed on 2017-07-18 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000081.txt Sec File: edgar/data/1037108/0001227025-17-000081-index.htm

2017-07-17 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp sold 10000 shares at $0.0 remaining shares owned 7421

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise date 2016-10-02 exercise price 5.74 has valueitem expiration due date 2022-10-02 underlying security shares 10000 underlying security title Common Stock

f3 the shares subject to the option will vest in forty-eight (48) equal monthly installments from the grant date, such that the option is fully vested on the fourth anniversary of the date of the grant, subject to the reporting person's continuous service (as defined in the issuer's 2010 equity incentive plan).


Filed on 2017-07-18 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000081.txt Sec File: edgar/data/1037108/0001227025-17-000081-index.htm

2017-07-17 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp sold 1923 shares at $0.0 remaining shares owned 0

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise date 2015-07-29 exercise price 3.25 has valueitem expiration due date 2024-07-28 underlying security shares 1923 underlying security title Common Stock

f2 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.


Filed on 2017-07-18 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000081.txt Sec File: edgar/data/1037108/0001227025-17-000081-index.htm

2017-07-17 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 1923 shares at $3.25 remaining shares owned 74010

Common Stock Neophotonics Corp Nptn Transaction code: M Exercise or conversion of derivative security

f1 represents a cash exercise.


Filed on 2017-07-18 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000081.txt Sec File: edgar/data/1037108/0001227025-17-000081-index.htm

2017-07-17 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 10000 shares at $5.74 remaining shares owned 72087

Common Stock Neophotonics Corp Nptn Transaction code: M Exercise or conversion of derivative security

f1 represents a cash exercise.


Filed on 2017-06-08 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000077.txt Sec File: edgar/data/1037108/0001227025-17-000077-index.htm

2017-06-07 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp sold 2656 shares at $0.0 remaining shares owned 0

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise price 0.0 has valueitem expiration due date 2017-06-07 underlying security shares 2656 underlying security title Common Stock

f1 each restricted stock unit represents a contingent right to receive one share of neophotonics common stock.
f2 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.


Filed on 2017-06-08 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000077.txt Sec File: edgar/data/1037108/0001227025-17-000077-index.htm

2017-06-07 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 2656 shares at $0.0 remaining shares owned 62087

Common Stock Neophotonics Corp Nptn Transaction code: M Exercise or conversion of derivative security


Filed on 2017-06-02 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000063.txt Sec File: edgar/data/1037108/0001227025-17-000063-index.htm

2017-06-01 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 7521 shares at $0.0 remaining shares owned 7521

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise price 9.2 has valueitem expiration due date 2027-05-31 underlying security shares 7521 underlying security title Common Stock

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.


Filed on 2017-06-02 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-17-000063.txt Sec File: edgar/data/1037108/0001227025-17-000063-index.htm

2017-06-01 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 4076 shares at $0.0 remaining shares owned 4076

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise price 0.0 has valueunderlying security shares 4076 underlying security title Common Stock

f2 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.


Filed on 2016-07-15 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-16-000148.txt Sec File: edgar/data/1037108/0001227025-16-000148-index.htm

2016-07-14 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp sold 2880.0 shares at $0.0 remaining shares owned 0

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise date 2016-07-14 exercise price 0.0 has valueitem expiration due date 2016-07-14 underlying security shares 2880 underlying security title Common Stock

f1 each restricted stock unit represents a contingent right to receive one share of neophotonics common stock.
f2 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.


Filed on 2016-07-15 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-16-000148.txt Sec File: edgar/data/1037108/0001227025-16-000148-index.htm

2016-07-14 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 2880 shares at $0.0 remaining shares owned 59431

Common Stock Neophotonics Corp Nptn Transaction code: M Exercise or conversion of derivative security


Filed on 2016-06-09 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-16-000133.txt Sec File: edgar/data/1037108/0001227025-16-000133-index.htm

2016-06-07 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 2656.0 shares at $0.0 remaining shares owned 2656

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise price 0.0 has valueunderlying security shares 2656 underlying security title Common Stock

f2 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.


Filed on 2016-06-09 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-16-000133.txt Sec File: edgar/data/1037108/0001227025-16-000133-index.htm

2016-06-07 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 2656.0 shares at $0.0 remaining shares owned 2656

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise price 9.41 has valueitem expiration due date 2026-06-06 underlying security shares 2656 underlying security title Common Stock

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.


Filed on 2015-08-04 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-15-000047.txt Sec File: edgar/data/1037108/0001227025-15-000047-index.htm

2015-07-14 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 2880.0 shares at $0.0 remaining shares owned 2880

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise price 8.68 has valueitem expiration due date 2025-07-13 underlying security shares 2880 underlying security title Common Stock

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.


Filed on 2015-08-04 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-15-000047.txt Sec File: edgar/data/1037108/0001227025-15-000047-index.htm

2015-07-14 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 2880.0 shares at $0.0 remaining shares owned 10572

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise date 2016-07-14 exercise price 0.0 has valueunderlying security shares 2880 underlying security title Common Stock

f2 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.


Filed on 2015-07-30 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-15-000030.txt Sec File: edgar/data/1037108/0001227025-15-000030-index.htm

2015-07-29 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 7692 shares at $0.0 remaining shares owned 56551

Common Stock Neophotonics Corp Nptn Transaction code: M Exercise or conversion of derivative security


Filed on 2015-07-30 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-15-000030.txt Sec File: edgar/data/1037108/0001227025-15-000030-index.htm

2015-07-29 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp sold 7692.0 shares at $0.0 remaining shares owned 0

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise date 2015-07-29 exercise price 0.0 has valueunderlying security shares 7692 underlying security title Common Stock

f1 each restricted stock unit represents a contingent right to receive one share of neophotonics common stock.
f2 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.


Filed on 2015-05-06 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-15-000005.txt Sec File: edgar/data/1037108/0001227025-15-000005-index.htm

2015-05-05 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 5769 shares at $3.25 remaining shares owned 48859

Common Stock Neophotonics Corp Nptn Transaction code: M Exercise or conversion of derivative security

f1 represents a cash exercise.


Filed on 2015-05-06 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-15-000005.txt Sec File: edgar/data/1037108/0001227025-15-000005-index.htm

2015-05-05 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp sold 5769 shares at $0 remaining shares owned 1923

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise price 3.25 has valueitem expiration due date 2024-07-28 underlying security shares 5769 underlying security title Common Stock

f1 represents a cash exercise.
f2 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.


Filed on 2014-08-28 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-14-000046.txt Sec File: edgar/data/1037108/0001227025-14-000046-index.htm

2014-08-26 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp sold 3090 shares at $0 remaining shares owned 7692

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise price 0 has valueunderlying security shares 3090 underlying security title Common Stock

f2 each restricted stock unit represents a contingent right to receive one share of common stock.
f3 represents the vest date of the last installment of this award.


Filed on 2014-08-28 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-14-000046.txt Sec File: edgar/data/1037108/0001227025-14-000046-index.htm

2014-08-26 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 3090 shares at $0 remaining shares owned 43090

Common Stock Neophotonics Corp Nptn Transaction code: M Exercise or conversion of derivative security

f1 upon vesting, each restricted stock unit was converted into an equivalent number of shares of the company's common stock.


Filed on 2014-08-15 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-14-000039.txt Sec File: edgar/data/1037108/0001227025-14-000039-index.htm

2014-08-14 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 19617 shares at $2.743 remaining shares owned 40000

Common Stock Neophotonics Corp Nptn Transaction code: P Open market or private purchase of securities

f1 this purchase price represents the weighted average purchase price of the shares purchased. upon request by the commission staff, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.


Filed on 2014-08-15 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-14-000039.txt Sec File: edgar/data/1037108/0001227025-14-000039-index.htm

2014-08-13 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 20383 shares at $2.636 remaining shares owned 20383

Common Stock Neophotonics Corp Nptn Transaction code: P Open market or private purchase of securities

f1 this purchase price represents the weighted average purchase price of the shares purchased. upon request by the commission staff, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.


Filed on 2014-07-31 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-14-000024.txt Sec File: edgar/data/1037108/0001227025-14-000024-index.htm

2014-07-29 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 7692 shares at $0 remaining shares owned 10782

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise date 2015-07-29 exercise price 0 has valueunderlying security shares 7692 underlying security title Common Stock

f2 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.


Filed on 2014-07-31 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-14-000024.txt Sec File: edgar/data/1037108/0001227025-14-000024-index.htm

2014-07-29 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 7692 shares at $0 remaining shares owned 7692

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise price 3.25 has valueitem expiration due date 2024-07-28 underlying security shares 7692 underlying security title Common Stock

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.


Filed on 2013-06-13 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-13-000015.txt Sec File: edgar/data/1037108/0001227025-13-000015-index.htm

2013-06-11 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 3090 shares at $0 remaining shares owned 3090

Restricted Stock Units Right To Acquire Neophotonics Corp Nptn exercise date 2014-06-11 exercise price 0 has valueunderlying security shares 3090 underlying security title Common Stock

f2 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.


Filed on 2013-06-13 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-13-000015.txt Sec File: edgar/data/1037108/0001227025-13-000015-index.htm

2013-06-11 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 3090 shares at $0 remaining shares owned 3090

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise price 8.09 has valueitem expiration due date 2023-06-10 underlying security shares 3090 underlying security title Common Stock

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.


Filed on 2012-10-04 by Abbe Charles J SEC CIK 1037108 Form 4

Accession 0001227025-12-000010.txt Sec File: edgar/data/1037108/0001227025-12-000010-index.htm

2012-10-02 Abbe Charles J (CIK 1037108) through Direct

Invested in Neophotonics Corp bought 17421 shares at $0 remaining shares owned 17421

Non-Qualified Stock Option Right To Buy Neophotonics Corp Nptn exercise price 5.74 has valueitem expiration due date 2022-10-02 underlying security shares 17421 underlying security title Common Stock

f1 the shares subject to the option will vest in forty-eight (48) equal monthly installments from the grant date, such that the option is fully vested on the fourth anniversary of the date of the grant, subject to the reporting person's continuous service (as defined in the issuer's 2010 equity incentive plan).