0001227025-18-000100.txt : 20181030 0001227025-18-000100.hdr.sgml : 20181030 20181030203252 ACCESSION NUMBER: 0001227025-18-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181029 FILED AS OF DATE: 20181030 DATE AS OF CHANGE: 20181030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: cheung Chiyue CENTRAL INDEX KEY: 0001489294 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 181148419 MAIL ADDRESS: STREET 1: 12TH SOUTH KEJI ROAD STREET 2: SOUTH HI-TECH INDUSTRY PARK CITY: SHENZHEN STATE: F4 ZIP: 518057 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 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2018-10-29 0 0001227025 NEOPHOTONICS CORP NPTN 0001489294 cheung Chiyue 2911 ZANKER RD SAN JOSE CA 95134 0 1 0 0 Chief Operating Officer Common Stock 2018-10-29 4 M 0 5500 0.0 A 5500 D Common Stock 2018-10-30 4 D 0 5500 7.8345 D 0 D Restricted Stock Units (right to acquire) 0.0 2018-10-29 4 M 0 5500 0.0 D 2018-10-27 Common Stock 5500 0 D In accordance with the State Administration of Foreign Exchange in China, shares acquired by Chinese national employees through an award granted under the Company's 2010 EIP Plan are subject to immediate sale. Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. 50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, 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: Chi Yue Raymond Cheung 2018-10-30