0001227025-21-000136.txt : 20210608
0001227025-21-000136.hdr.sgml : 20210608
20210608171138
ACCESSION NUMBER: 0001227025-21-000136
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210604
FILED AS OF DATE: 20210608
DATE AS OF CHANGE: 20210608
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: 211002989
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
2021-06-04
0
0001227025
NEOPHOTONICS CORP
NPTN
0001209534
SOPHIE MICHAEL J
3081 ZANKER RD
SAN JOSE
CA
95134
1
0
0
0
Common Stock
2021-06-04
4
M
0
5228
0.0
A
23822
D
Restricted Stock Units (right to acquire)
0.0
2021-06-04
4
M
0
5228
0.0
D
2021-06-04
Common Stock
5228
0
D
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
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.
By: /s/ Barbara Rogan, Attorney-in-fact For: Michael Sophie
2021-06-08