0001227025-21-000184.txt : 20210722 0001227025-21-000184.hdr.sgml : 20210722 20210722174026 ACCESSION NUMBER: 0001227025-21-000184 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210720 FILED AS OF DATE: 20210722 DATE AS OF CHANGE: 20210722 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: 211108519 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 2021-07-20 0 0001227025 NEOPHOTONICS CORP NPTN 0001489550 Wupen Yuen 3081 ZANKER RD SAN JOSE CA 95134 0 1 0 0 VICE PRESIDENT GLOBAL PRODUCT Restricted Stock Units (right to acquire) 0.0 2021-07-20 4 A 0 53900 0.0 A 2025-07-20 Common Stock 53900 53900 D 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: Wupen Yuen 2021-07-22