0001227025-21-000248.txt : 20211108 0001227025-21-000248.hdr.sgml : 20211108 20211108183025 ACCESSION NUMBER: 0001227025-21-000248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211104 FILED AS OF DATE: 20211108 DATE AS OF CHANGE: 20211108 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: 211389281 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 2021-11-04 0 0001227025 NEOPHOTONICS CORP NPTN 0001209534 SOPHIE MICHAEL J 3081 ZANKER RD SAN JOSE CA 95134 1 0 0 0 Common Stock 2021-11-04 4 M 0 5228 8.56 A 29050 D Common Stock 2021-11-04 4 S 0 5228 15.04 D 23822 D Common Stock 2021-11-04 4 S 0 12160 15.04 D 11662 D Non-Qualified Stock Option (right to buy) 8.56 2021-11-04 4 M 0 5228 15.04 D 2030-06-01 Common Stock 5228 3732 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. 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. By: /s/ Barbara Rogan, Attorney-in-fact For: Michael Sophie 2021-11-08