0001227025-21-000071.txt : 20210413 0001227025-21-000071.hdr.sgml : 20210413 20210413180752 ACCESSION NUMBER: 0001227025-21-000071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210409 FILED AS OF DATE: 20210413 DATE AS OF CHANGE: 20210413 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: 21824078 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 2021-04-09 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 2021-04-09 4 M 0 11500 0.0 A 96729 D Common Stock 2021-04-09 4 D 0 3977 12.0 D 92752 D Restricted Stock Units (right to acquire) 0.0 2021-04-09 4 M 0 11500 0.0 D 2024-04-09 Common Stock 11500 34500 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 2021-04-12