0001227025-21-000252.txt : 20211210 0001227025-21-000252.hdr.sgml : 20211210 20211210181903 ACCESSION NUMBER: 0001227025-21-000252 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211209 FILED AS OF DATE: 20211210 DATE AS OF CHANGE: 20211210 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: 211486528 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 2021-12-09 0 0001227025 NEOPHOTONICS CORP NPTN 0001489294 cheung Chiyue 3081 ZANKER RD SAN JOSE CA 95134 0 1 0 0 Chief Operating Officer Common Stock 2021-12-09 4 M 0 75000 5.11 A 75000 D Common Stock 2021-12-09 4 D 0 75000 15.32 D 0 D Stock Appreciation Right 5.11 2021-12-09 4 M 0 75000 0.0 D 2019-12-12 2022-12-11 Common Stock 75000 0 D By: /s/ Barbara Rogan, Attorney-in-fact For: Chi Yue Raymond Cheung 2021-12-10