0001227025-21-000246.txt : 20211108
0001227025-21-000246.hdr.sgml : 20211108
20211108182426
ACCESSION NUMBER: 0001227025-21-000246
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: cheung Chiyue
CENTRAL INDEX KEY: 0001489294
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35061
FILM NUMBER: 211389269
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
2021-11-04
0
0001227025
NEOPHOTONICS CORP
NPTN
0001489294
cheung Chiyue
3081 ZANKER RD
SAN JOSE
CA
95134
0
1
0
0
Chief Operating Officer
Common Stock
2021-11-04
4
M
0
30000
12.27
A
30000
D
Common Stock
2021-11-04
4
S
0
30000
15.04
D
0
D
Common Stock
2021-11-04
4
M
0
33000
7.59
A
33000
D
Common Stock
2021-11-04
4
S
0
33000
15.04
D
0
D
Common Stock
2021-11-04
4
M
0
29000
8.07
A
29000
D
Common Stock
2021-11-04
4
S
0
29000
15.04
D
0
D
Non-Qualified Stock Option (right to buy)
7.59
2021-11-04
4
M
0
33000
15.04
D
2025-10-26
Common Stock
33000
0
D
Non-Qualified Stock Option (right to buy)
8.07
2021-11-04
4
M
0
29000
15.04
D
2027-07-31
Common Stock
29000
0
D
Non-Qualified Stock Option (right to buy)
12.27
2021-11-04
4
M
0
30000
15.04
D
2026-08-01
Common Stock
30000
0
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.
50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
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.
30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
By: /s/ Barbara Rogan, Attorney-in-fact For: Chi Yue Raymond Cheung
2021-11-08