0001227025-21-000242.txt : 20211108 0001227025-21-000242.hdr.sgml : 20211108 20211108181450 ACCESSION NUMBER: 0001227025-21-000242 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211104 FILED AS OF DATE: 20211108 DATE AS OF CHANGE: 20211108 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: 211389239 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 2021-11-04 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 2021-11-04 4 S 0 48587 15.04 D 166897 D Sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. By: /s/ Barbara Rogan, Attorney-in-fact For: Wupen Yuen 2021-11-08