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