0001227025-21-000057.txt : 20210406 0001227025-21-000057.hdr.sgml : 20210406 20210406205755 ACCESSION NUMBER: 0001227025-21-000057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210405 FILED AS OF DATE: 20210406 DATE AS OF CHANGE: 20210406 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: 21810455 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: 3081 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4082329200 MAIL ADDRESS: STREET 1: 3081 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2021-04-05 0 0001227025 NEOPHOTONICS CORP NPTN 0001209534 SOPHIE MICHAEL J 3081 ZANKER RD SAN JOSE CA 95134 1 0 0 0 Common Stock 2021-04-05 4 S 0 10854 12.7001 D 25326 D Common Stock 2021-04-05 4 S 0 6732 12.6961 D 18594 D Sale 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/ Barbara Rogan, Attorney-in-Fact For: Michael J Sophie 2021-04-06