0001227025-20-000136.txt : 20200803
0001227025-20-000136.hdr.sgml : 20200803
20200803183312
ACCESSION NUMBER: 0001227025-20-000136
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200730
FILED AS OF DATE: 20200803
DATE AS OF CHANGE: 20200803
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: 201070535
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
2020-07-30
0
0001227025
NEOPHOTONICS CORP
NPTN
0001735531
Yee Yang Chiah
3081 ZANKER RD
SAN JOSE
CA
95134
0
1
0
0
Senior VP, Global Sales
Common Stock
2020-07-30
4
M
0
10000
0.0
A
47997
D
Common Stock
2020-07-30
4
D
0
3458
8.92
D
44539
D
Common Stock
2020-07-30
4
M
0
2667
0.0
A
47206
D
Common Stock
2020-07-30
4
D
0
923
8.92
D
46283
D
Restricted Stock Units (right to acquire)
0.0
2020-07-30
4
M
0
2667
0.0
D
2022-07-30
Common Stock
2667
5333
D
Restricted Stock Units (right to acquire)
0.0
2020-07-30
4
M
0
10000
0.0
D
2023-07-30
Common Stock
10000
30000
D
Represents shares withheld 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.
The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. 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.
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/ Barbara Rogan, Attorney-in-Fact For: Yang Chiah Yee
2020-08-02
EX-24
2
poa_yee.txt
EDGAR SUPPORTING DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Timothy Jenks, Elizabeth Eby, Barbara Rogan and John Sellers,
signing individually, the undersigned's true and lawful attorneys-in fact and
agents to:
(1) execute for and on behalf of the undersigned, an officer, director or
holder of 10% of more of a registered class of securities of NeoPhotonics
Corporation (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a)
of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and
the rules thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned
that may be necessary or desirable to complete and execute such Form 3, 4 or 5,
complete and execute any amendment or amendments thereto, and timely file
such forms or amendments with the United States Securities and Exchange
Commission and any stock exchange or similar authority; and
(3) take any other action of any nature whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in
the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of
the undersigned pursuant to this Power of Attorney shall be in such form and
shall contain such terms and conditions as such attorney-in-fact may approve in
such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the rights
and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
earliest to occur of (a) the undersigned is no longer required to file Forms 3,
4 and 5 with respect to the undersigned's holdings of and transactions in
securities issued by the Company, (b) revocation by the undersigned in a signed
writing delivered to the foregoing attorneys-in-fact or (c) as to any
attorney-in-fact individually, until such attorney-in-fact shall no longer be
employed or retained by the Company.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 1st day of May, 2020.
/s/ Yang Chiah Yee
____________________
Signature
Yang Chiah Yee
_______________
Exact Name of Insider