0001227025-18-000109.txt : 20181102
0001227025-18-000109.hdr.sgml : 20181102
20181102202422
ACCESSION NUMBER: 0001227025-18-000109
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181101
FILED AS OF DATE: 20181102
DATE AS OF CHANGE: 20181102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SOPHIE MICHAEL J
CENTRAL INDEX KEY: 0001209534
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35061
FILM NUMBER: 181158532
MAIL ADDRESS:
STREET 1: C/O UTSTARCOM INC.
STREET 2: 1275 HARBOR BAY PARKWAY
CITY: ALAMEDA
STATE: CA
ZIP: 94502
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
2018-11-01
0
0001227025
NEOPHOTONICS CORP
NPTN
0001209534
SOPHIE MICHAEL J
2911 ZANKER RD
SAN JOSE
CA
95134
1
0
0
0
Common Stock
2018-11-01
4
M
0
1000
4.25
A
19394
D
Common Stock
2018-11-01
4
S
0
1000
8.05
D
18394
D
Non-Qualified Stock Option (right to buy)
4.25
2018-11-01
4
M
0
1000
8.05
D
2012-11-01
2018-11-04
Common Stock
1000
0
D
Exercise and Sale of an expiring stock option pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
By: /s/ Judi Otteson, Attorney-in-Fact For: Michael J Sophie
2018-11-02