0001227025-22-000075.txt : 20220603 0001227025-22-000075.hdr.sgml : 20220603 20220603181112 ACCESSION NUMBER: 0001227025-22-000075 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220601 FILED AS OF DATE: 20220603 DATE AS OF CHANGE: 20220603 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: 22996129 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 2022-06-01 0 0001227025 NEOPHOTONICS CORP NPTN 0001209534 SOPHIE MICHAEL J 3081 ZANKER RD SAN JOSE CA 95134 1 0 0 0 Common Stock 2022-06-01 4 M 0 4621 0.0 A 16283 D Restricted Stock Units (right to acquire) 0.0 2022-06-01 4 M 0 4621 0.0 D 2022-06-01 2022-06-01 Common Stock 4621 0 D Restricted Stock Units (right to acquire) 0.0 2022-06-02 4 A 0 5787 0.0 A 2023-06-02 2023-06-02 Common Stock 5787 5787 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 For: Michael J. Sophie 2022-06-03