0001227025-21-000120.txt : 20210603
0001227025-21-000120.hdr.sgml : 20210603
20210603172026
ACCESSION NUMBER: 0001227025-21-000120
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210601
FILED AS OF DATE: 20210603
DATE AS OF CHANGE: 20210603
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Chainey Kimberly
CENTRAL INDEX KEY: 0001817362
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35061
FILM NUMBER: 21993598
MAIL ADDRESS:
STREET 1: 265 EXCHANGE DRIVE, SUITE 100
CITY: CRYSTAL LAKE
STATE: IL
ZIP: 60014
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
2021-06-01
0
0001227025
NEOPHOTONICS CORP
NPTN
0001817362
Chainey Kimberly
3081 ZANKER RD
SAN JOSE
CA
95134
1
0
0
0
Non-Qualified Stock Option (right to buy)
10.17
2021-06-01
4
A
0
7641
0.0
A
2031-05-31
Common Stock
7641
7641
D
Restricted Stock Units (right to acquire)
0.0
2021-06-01
4
A
0
4621
0.0
A
2022-06-01
Common Stock
4621
4621
D
This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
By: /s/ Barbara Rogan, Attorney-in-fact For: Kimberly Chainey
2021-06-02