0001227025-16-000092.txt : 20160413
0001227025-16-000092.hdr.sgml : 20160413
20160413160253
ACCESSION NUMBER: 0001227025-16-000092
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160411
FILED AS OF DATE: 20160413
DATE AS OF CHANGE: 20160413
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: 2911 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 951342125
BUSINESS PHONE: 4082329200
MAIL ADDRESS:
STREET 1: 2911 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 95134
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WALLIN RAY
CENTRAL INDEX KEY: 0001286373
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35061
FILM NUMBER: 161569310
MAIL ADDRESS:
STREET 1: 263 SOUTH HILLVIEW DRIVE
CITY: MILPITAS
STATE: CA
ZIP: 95035
4
1
edgardoc.xml
PRIMARY DOCUMENT
X0306
4
2016-04-11
0
0001227025
NEOPHOTONICS CORP
NPTN
0001286373
WALLIN RAY
2911 ZANKER RD
SAN JOSE
CA
95134
0
1
0
0
SVP, CFO
Common Stock
2016-04-11
4
S
0
2785.0
13.9211
D
24051
D
Common Stock
2016-04-11
4
M
0
3028.0
3.3
A
27079
D
Common Stock
2016-04-11
4
S
0
3028.0
13.9242
D
24051
D
Common Stock
2016-04-11
4
M
0
2969.0
3.3
A
27020
D
Common Stock
2016-04-11
4
S
0
2969.0
13.9227
D
24051
D
Common Stock
2016-04-12
4
S
0
5551.0
13.0787
D
18500
D
Common Stock
2016-04-12
4
M
0
300.0
3.3
A
18800
D
Common Stock
2016-04-12
4
S
0
300.0
13.64
D
18500
D
Common Stock
2016-04-12
4
M
0
3031.0
3.3
A
21531
D
Common Stock
2016-04-12
4
S
0
3031.0
13.189
D
18500
D
Incentive Stock Option (right to buy)
3.3
2016-04-11
4
M
0
3028.0
13.9242
D
2024-10-07
Common Stock
3028
25772
D
Incentive Stock Option (right to buy)
3.3
2016-04-11
4
M
0
2969.0
13.9227
D
2024-10-07
Common Stock
2969
22803
D
Incentive Stock Option (right to buy)
3.3
2016-04-12
4
M
0
300.0
13.64
D
2024-10-07
Common Stock
300
22503
D
Incentive Stock Option (right to buy)
3.3
2016-04-12
4
M
0
3031.0
13.189
D
2024-10-07
Common Stock
3031
19472
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.
Exercise 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 Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and the remaining will vest quarterly over the next year, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
By: /s/Judi Otteson, Attorney-in-Fact For: Clyde Raymond Wallin
2016-04-13