0001227025-20-000028.txt : 20200323 0001227025-20-000028.hdr.sgml : 20200323 20200323215524 ACCESSION NUMBER: 0001227025-20-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200323 FILED AS OF DATE: 20200323 DATE AS OF CHANGE: 20200323 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: 20736472 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 2020-03-23 0 0001227025 NEOPHOTONICS CORP NPTN 0001735531 Yee Yang Chiah 2911 ZANKER RD SAN JOSE CA 95134 0 1 0 0 Senior VP, Global Sales Common Stock 2020-03-23 4 M 0 24950 0.0 A 42805 D Common Stock 2020-03-23 4 D 0 8928 5.66 D 33877 D Restricted Stock Units (right to acquire) 0.0 2020-03-23 4 M 0 24950 0.0 D 2022-03-21 Common Stock 24950 49900 D Represents shares reacquired by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person. 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/ Elizabeth Eby, Attorney-in-Fact For: Yang Chiah Yee 2020-03-23