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