0001227025-21-000208.txt : 20210803
0001227025-21-000208.hdr.sgml : 20210803
20210803182330
ACCESSION NUMBER: 0001227025-21-000208
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: cheung Chiyue
CENTRAL INDEX KEY: 0001489294
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35061
FILM NUMBER: 211141512
MAIL ADDRESS:
STREET 1: 12TH SOUTH KEJI ROAD
STREET 2: SOUTH HI-TECH INDUSTRY PARK
CITY: SHENZHEN
STATE: F4
ZIP: 518057
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
0001489294
cheung Chiyue
3081 ZANKER RD
SAN JOSE
CA
95134
0
1
0
0
Chief Operating Officer
Common Stock
2021-07-30
4
M
0
2667
0.0
A
2667
D
Common Stock
2021-07-30
4
M
0
10000
0.0
A
12667
D
Common Stock
2021-08-02
4
S
0
2667
9.4128
D
10000
D
Common Stock
2021-08-02
4
S
0
10000
9.4128
D
0
D
Restricted Stock Units (right to acquire)
0.0
2021-07-30
4
M
0
2667
9.4128
D
2022-07-30
Common Stock
2667
2666
D
Restricted Stock Units (right to acquire)
0.0
2021-07-30
4
M
0
10000
9.4128
D
2023-07-30
Common Stock
10000
20000
D
According to the Company's registration with the State Administration of Foreign Exchange in China, shares acquired by Chinese national employees through an award granted under the Company's 2010 EIP Plan are subject to immediate sale.
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: Chi Yue Raymond Cheung
2021-08-03