0001535264-16-000153.txt : 20160304
0001535264-16-000153.hdr.sgml : 20160304
20160304144551
ACCESSION NUMBER: 0001535264-16-000153
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160304
DATE AS OF CHANGE: 20160304
GROUP MEMBERS: ADAM C. STETTNER
GROUP MEMBERS: AUSTIN W. MARXE
GROUP MEMBERS: AWM INVESTMENT COMPANY, INC.
GROUP MEMBERS: DAVID M. GREENHOUSE
GROUP MEMBERS: MGP ADVISERS LIMITED PARTNERSHIP
GROUP MEMBERS: SPECIAL SITUATIONS CAYMAN FUND, L.P.
GROUP MEMBERS: SPECIAL SITUATIONS FUND III QP, L.P.
GROUP MEMBERS: SPECIAL SITUATIONS TECHNOLOGY FUND II, L.P.
GROUP MEMBERS: SPECIAL SITUATIONS TECHNOLOGY FUND, L.P.
GROUP MEMBERS: SSCAYMAN, LLC
GROUP MEMBERS: SST ADVISERS, LLC
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: NEOPHOTONICS CORP
CENTRAL INDEX KEY: 0001227025
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 943253730
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-86596
FILM NUMBER: 161484853
BUSINESS ADDRESS:
STREET 1: 2911 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 951342125
BUSINESS PHONE: 4082329200
MAIL ADDRESS:
STREET 1: 2911 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 95134
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: AWM Investment Company, Inc.
CENTRAL INDEX KEY: 0001535264
IRS NUMBER: 113086452
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-319-6670
MAIL ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
SC 13G/A
1
neophotonics13gt1.txt
NEOPHOTONICS 13G/A
THE UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
NeoPhotonics Corporation
(Name of Issuer)
Common Stock, Par Value $.0025
(Title of Class of Securities)
64051T100
(CUSIP Number)
February 29, 2016
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule 13G is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting
person?s initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be ?filed? for the purpose of Section 18 of the
Securities Exchange Act of 1934 (?Act?) or otherwise subject to the
liabilities of that section of the Act but shall be subject to all
other provisions of the Act (however, see the Notes).
CUSIP No. 64051T100
(1) Names of Reporting Persons. I.R.S. Identification Nos. of
Above Persons (entities only):
AWM Investment Company, Inc.
(2) Check the Appropriate Box if a Member of a Group (See
Instructions) (a)___ b)___
(3) SEC Use Only
(4) Citizenship or Place of Organization: Delaware, United States
Number of Shares Beneficially
Owned by Each Reporting Person
With
(5) Sole Voting Power:
2,019,136**
(6) Shared Voting Power: 0**
(7) Sole Dispositive Power:
2,019,136**
(8) Shared Dispositive Power: 0**
(9) Aggregate Amount Beneficially Owned by Each Reporting
Person: 2,019,136**
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions):
(11) Percent of Class Represented by Amount in Row (9): 4.98%**
(12) Type of Reporting Person (See Instructions): IA
**AWM Investment Company, Inc., a Delaware Corporation (?AWM?), is the
investment adviser to Special Situations Fund III QP, L.P. (?SSFQP?),
Special Situations Cayman Fund, L.P. (?Cayman?), Special Situations
Technology Fund, L.P. (?TECH?) and Special Situations Technology Fund
II, L.P. (?TECH II?), (SSFQP, Cayman, TECH and TECH II will hereafter
be referred to as the ?Funds?). As the investment adviser to the
Funds, AWM holds sole voting and investment power over 400,588 shares
of Common Stock of the Issuer (the ?Shares?) held by SSFQP, 133,529
Shares held by Cayman, 281,161 Shares held by TECH and 1,203,858
Shares held by TECH II. See Items 2 and 4 of this Schedule for
additional information.
Item 1(a). Name Of Issuer: NeoPhotonics Corporation
Item 1(b). Address of Issuer?s Principal Executive Offices:
2911 Zanker Road
San Jose, California 95134
Item 2(a). Name of Person Filing:
The person filing this report is AWM Investment Company, Inc.,
a Delaware corporation (?AWM?), which is the investment adviser
to Special Situations Cayman Fund, L.P., a Cayman Islands
Limited Partnership (?CAYMAN?), Special Situations Fund III QP,
L.P., a Delaware limited partnership (?SSFQP?), Special
Situations Technology Fund, L.P., a Delaware limited
partnership (?TECH?) and Special Situations Technology Fund II,
L.P., a Delaware limited partnership (?TECH II?), (CAYMAN,
SSFQP, TECH and TECH II, will hereafter be referred to as the
?Funds?). The principal business of each Fund is to invest in
equity and equity-related securities and other securities of
any kind or nature.
Austin W. Marxe (?Marxe?), David M. Greenhouse (?Greenhouse?)
and Adam C. Stettner (?Stettner?) are members of: SSCayman,
L.L.C., a Delaware limited liability company (?SSCAY?), the
general partner of CAYMAN, MGP Advisers Limited Partnership, a
Delaware limited partnership (?MGP?), the general partner of
SSFQP; SST Advisers, L.L.C., a Delaware limited liability
company (?SSTA?), the general partner of TECH and TECH II.
Marxe, Greenhouse and Stettner are also controlling principals
of AWM.
Item 2(b). Address of Principal Business Office or, if None,
Residence:
The principal business address for AWM is c/o Special
Situations Funds, 527 Madison Avenue, Suite 2600, New York, NY
10022.
Item 2(c). Citizenship: AWM is a Delaware Corporation.
Item 2(d). Title of Class of Securities: Common Stock, Par
Value $.0025
Item 2(e). CUSIP No.: 64051T100
Item 3. If This Statement Is Filed Pursuant to ??240.13d-1(b) or
240.13d-2(b) or (c), check whether the Person Filing is a:
Not Applicable.
Item 4. Ownership
(a) Amount Beneficially Owned: 2,019,136**
(b) Percent of Class: 4.98%**
(c) Number of Shares as to which the person has:
(i) sole power to vote or to direct the vote: 2,019,136**
(ii) shared power to vote or to direct the vote: 0**
(iii) sole power to dispose or to direct the disposition of:
2,019,136**
(iv) shared power to dispose or to direct the disposition
of: 0**
______________________________________________________________________
** AWM is the investment adviser to each of the Funds. As the
investment adviser to the Funds, AWM holds sole voting and investment
power over 400,588 shares of Common Stock of the Issuer (the ?Shares?)
held by SSFQP, 133,529 Shares held by Cayman, 281,161 Shares held by
TECH and 1,203,858 Shares held by TECH II. Marxe, Greenhouse and
Stettner are members of: SSCayman, L.L.C., a Delaware limited
liability company (?SSCAY?), the general partner of CAYMAN; MGP
Advisers Limited Partnership, a Delaware limited partnership (?MGP?),
the general partner of SSFQP; and SSTA, the general partner of TECH
and TECH II. Marxe, Greenhouse and Stettner are also controlling
principals of AWM.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following. _X_
Item 6. Ownership of More Than Five Percent on Behalf of Another
Person
Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding
Company or Control Person
Not Applicable.
Item 8. Identification and Classification of Members of the Group
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is
true, complete and correct.
Dated: March 2, 2016
AWM INVESTMENT COMPANY, INC.
By:
Name: David M. Greenhouse
Title: Executive Vice President
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001)
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