0001227025-21-000142.txt : 20210608 0001227025-21-000142.hdr.sgml : 20210608 20210608173755 ACCESSION NUMBER: 0001227025-21-000142 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210604 FILED AS OF DATE: 20210608 DATE AS OF CHANGE: 20210608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wupen Yuen CENTRAL INDEX KEY: 0001489550 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 211003186 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 2021-06-04 0 0001227025 NEOPHOTONICS CORP NPTN 0001489550 Wupen Yuen 3081 ZANKER RD SAN JOSE CA 95134 0 1 0 0 VICE PRESIDENT GLOBAL PRODUCT Common Stock 2021-06-04 4 M 0 14400 0.0 A 231811 D Common Stock 2021-06-04 4 D 0 4980 10.65 D 226831 D Restricted Stock Units (right to acquire) 0.0 2021-06-04 4 M 0 14400 0.0 D 2021-06-04 Common Stock 14400 0 D Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan. 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. These restricted stock units are scheduled to vest 30% on June 4, 2019, 30% on June 4, 2020 and 40% on June 4, 2021, 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. By: /s/ Barbara Rogan, Attorney-in-fact For: Wupen Yuen 2021-06-08