0001227025-21-000036.txt : 20210323 0001227025-21-000036.hdr.sgml : 20210323 20210323171106 ACCESSION NUMBER: 0001227025-21-000036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210322 FILED AS OF DATE: 20210323 DATE AS OF CHANGE: 20210323 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: 21765568 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: 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 2021-03-22 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 2021-03-22 4 M 0 24950 0.0 A 86961 D Common Stock 2021-03-22 4 D 0 8628 12.94 D 78333 D Restricted Stock Units (right to acquire) 0.0 2021-03-22 4 M 0 24950 0.0 D 2022-03-21 Common Stock 24950 24950 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. 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 2021-03-23