0001227025-21-000165.txt : 20210702 0001227025-21-000165.hdr.sgml : 20210702 20210702171119 ACCESSION NUMBER: 0001227025-21-000165 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210701 FILED AS OF DATE: 20210702 DATE AS OF CHANGE: 20210702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eby Elizabeth Lynne CENTRAL INDEX KEY: 0001714866 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 211071416 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 2021-07-01 0 0001227025 NEOPHOTONICS CORP NPTN 0001714866 Eby Elizabeth Lynne 3081 ZANKER RD SAN JOSE CA 95134 0 1 0 1 SVP, CFO SVP, CFO Common Stock 2021-07-01 4 M 0 9750 0.0 A 380756 D Common Stock 2021-07-01 4 D 0 4835 10.21 D 375921 D Common Stock 2021-07-01 4 M 0 6500 0.0 A 382421 D Common Stock 2021-07-01 4 D 0 3223 10.21 D 379198 D Restricted Stock Units (right to acquire) 0.0 2021-07-01 4 M 0 9750 0.0 D 2025-07-01 Common Stock 9750 22750 D Restricted Stock Units (right to acquire) 0.0 2021-07-01 4 M 0 6500 0.0 D 2025-07-01 Common Stock 6500 16250 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. These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. 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: Elizabeth Lynne Eby 2021-07-02