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