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