0001227025-17-000081.txt : 20170718 0001227025-17-000081.hdr.sgml : 20170718 20170718171335 ACCESSION NUMBER: 0001227025-17-000081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170717 FILED AS OF DATE: 20170718 DATE AS OF CHANGE: 20170718 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ABBE CHARLES J CENTRAL INDEX KEY: 0001037108 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 17970090 MAIL ADDRESS: STREET 1: 2445 WESTSIDE ROAD CITY: HEALDSBURG STATE: CA ZIP: 95448 ISSUER: 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 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 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-07-17 0 0001227025 NEOPHOTONICS CORP NPTN 0001037108 ABBE CHARLES J 2911 ZANKER RD SAN JOSE CA 95134 1 0 0 0 Common Stock 2017-07-17 4 M 0 10000 5.74 A 72087 D Common Stock 2017-07-17 4 M 0 1923 3.25 A 74010 D Non-Qualified Stock Option (right to buy) 3.25 2017-07-17 4 M 0 1923 0.0 D 2015-07-29 2024-07-28 Common Stock 1923 0 D Non-Qualified Stock Option (right to buy) 5.74 2017-07-17 4 M 0 10000 0.0 D 2016-10-02 2022-10-02 Common Stock 10000 7421 D Represents a cash exercise. 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. 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). By: /s/Judi Otteson, Attorney-in-Fact For: Charles Junggren Abbe 2017-07-18