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