0001227025-21-000206.txt : 20210803
0001227025-21-000206.hdr.sgml : 20210803
20210803181553
ACCESSION NUMBER: 0001227025-21-000206
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210730
FILED AS OF DATE: 20210803
DATE AS OF CHANGE: 20210803
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: 211141482
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
2021-07-30
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
2021-07-30
4
M
0
2667
0.0
A
238837
D
Common Stock
2021-07-30
4
D
0
1323
9.7
D
237514
D
Common Stock
2021-07-30
4
M
0
10000
0.0
A
247514
D
Common Stock
2021-07-30
4
D
0
4958
9.7
D
242556
D
Restricted Stock Units (right to acquire)
0.0
2021-07-30
4
M
0
2667
0.0
D
2022-07-30
Common Stock
2667
2666
D
Restricted Stock Units (right to acquire)
0.0
2021-07-30
4
M
0
10000
0.0
D
2023-07-30
Common Stock
10000
20000
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.
The shares vest in three equal annual installments, 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.
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
2021-08-03