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