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