0001227025-18-000015.txt : 20180326 0001227025-18-000015.hdr.sgml : 20180326 20180326164621 ACCESSION NUMBER: 0001227025-18-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180322 FILED AS OF DATE: 20180326 DATE AS OF CHANGE: 20180326 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yee Yang Chiah CENTRAL INDEX KEY: 0001735531 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 18713262 MAIL ADDRESS: STREET 1: 2911 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 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 2018-03-22 0 0001227025 NEOPHOTONICS CORP NPTN 0001735531 Yee Yang Chiah 2911 ZANKER RD SAN JOSE CA 95134 0 1 0 0 Senior VP, Global Sales Non-Qualified Stock Option (right to buy) 6.51 2018-03-22 4 A 0 83200 0.0 A 2028-03-21 Common Stock 83200 83200 D Restricted Stock Units (right to acquire) 0.0 2018-03-22 4 A 0 99800 0.0 A 2022-03-21 Common Stock 99800 99800 D Twenty-five percent (25%) of the underlying shares shall vest on the one year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48th) of the shares shall vest each month thereafter, subject to the recipient's continued service through such date. Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date. By: /s/ Judi Otteson, Attorney-in-Fact For: Yang Chiah Yee 2018-03-26