0001227025-19-000063.txt : 20190606
0001227025-19-000063.hdr.sgml : 20190606
20190606162456
ACCESSION NUMBER: 0001227025-19-000063
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190604
FILED AS OF DATE: 20190606
DATE AS OF CHANGE: 20190606
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: 19882870
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
2019-06-04
0
0001227025
NEOPHOTONICS CORP
NPTN
0001209534
SOPHIE MICHAEL J
2911 ZANKER RD
SAN JOSE
CA
95134
1
0
0
0
Common Stock
2019-06-05
4
M
0
6932
0.0
A
25326
D
Non-Qualified Stock Option (right to buy)
4.33
2019-06-04
4
A
0
14056
0.0
A
2029-06-03
Common Stock
14056
14056
D
Restricted Stock Units (right to acquire)
0.0
2019-06-04
4
A
0
10854
0.0
A
2020-06-04
Common Stock
10854
10854
D
Restricted Stock Units (right to acquire)
0.0
2019-06-05
4
M
0
6932
0.0
D
Common Stock
6932
0
D
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.
This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
By: /s/ Judi Otteson, Attorney-in-Fact For: Michael J Sophie
2019-06-05