0001227025-21-000254.txt : 20211213
0001227025-21-000254.hdr.sgml : 20211213
20211213164537
ACCESSION NUMBER: 0001227025-21-000254
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211209
FILED AS OF DATE: 20211213
DATE AS OF CHANGE: 20211213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Li Yanbing
CENTRAL INDEX KEY: 0001783061
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35061
FILM NUMBER: 211488564
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
2021-12-09
0
0001227025
NEOPHOTONICS CORP
NPTN
0001783061
Li Yanbing
3081 ZANKER RD
SAN JOSE
CA
95134
1
0
0
0
Common Stock
2021-12-09
4
M
0
3820
10.17
A
19803
D
Common Stock
2021-12-09
4
S
0
3820
15.3248
D
15983
D
Common Stock
2021-12-09
4
M
0
8960
8.56
A
24943
D
Common Stock
2021-12-09
4
S
0
8960
15.3248
D
15983
D
Common Stock
2021-12-09
4
M
0
18665
4.37
A
34648
D
Common Stock
2021-12-09
4
S
0
18665
15.3248
D
15983
D
Common Stock
2021-12-09
4
S
0
7397
15.328
D
8586
D
Non-Qualified Stock Option (right to buy)
4.37
2021-12-09
4
M
0
18665
0.0
D
2029-07-02
Common Stock
18665
0
D
Non-Qualified Stock Option (right to buy)
8.56
2021-12-09
4
M
0
8960
0.0
D
2030-06-01
Common Stock
8960
0
D
Non-Qualified Stock Option (right to buy)
10.17
2021-12-09
4
M
0
3820
0.0
D
2031-05-31
Common Stock
3820
3821
D
This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
By: /s/ Barbara Rogan, Attorney-in-fact For: Yanbing Li
2021-12-13