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