0001227025-16-000116.txt : 20160428 0001227025-16-000116.hdr.sgml : 20160428 20160428214922 ACCESSION NUMBER: 0001227025-16-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160427 FILED AS OF DATE: 20160428 DATE AS OF CHANGE: 20160428 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: 161602257 MAIL ADDRESS: STREET 1: 263 SOUTH HILLVIEW DRIVE CITY: MILPITAS STATE: CA ZIP: 95035 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2016-04-27 0 0001227025 NEOPHOTONICS CORP NPTN 0001286373 WALLIN RAY 2911 ZANKER RD SAN JOSE CA 95134 0 1 0 0 SVP, CFO Common Stock 2016-04-27 4 M 0 6672.0 3.3 A 25172 D Common Stock 2016-04-27 4 S 0 6672.0 13.5168 D 18500 D Incentive Stock Option (right to buy) 3.3 2016-04-27 4 M 0 6672.0 13.5168 D 2016-04-27 2024-10-07 Common Stock 6672 10800 D 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. By: /s/Judi Otteson, Attorney-in-Fact, For: Clyde Raymond Wallin 2016-04-28