0001227025-18-000071.txt : 20180726
0001227025-18-000071.hdr.sgml : 20180726
20180726213611
ACCESSION NUMBER: 0001227025-18-000071
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180725
FILED AS OF DATE: 20180726
DATE AS OF CHANGE: 20180726
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: 18973096
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
2018-07-25
0
0001227025
NEOPHOTONICS CORP
NPTN
0001735531
Yee Yang Chiah
2911 ZANKER RD
SAN JOSE
CA
95134
0
1
0
0
Senior VP, Global Sales
Restricted Stock Units (right to acquire)
0.0
2018-07-25
4
A
0
50000
0.0
A
2025-07-01
Common Stock
50000
50000
D
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.
By: /s/ Judi Otteson, Attorney-in-Fact For: Yang Chiah Yee
2018-07-26