0001227025-15-000005.txt : 20150506 0001227025-15-000005.hdr.sgml : 20150506 20150506212836 ACCESSION NUMBER: 0001227025-15-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150505 FILED AS OF DATE: 20150506 DATE AS OF CHANGE: 20150506 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: ABBE CHARLES J CENTRAL INDEX KEY: 0001037108 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 15839118 MAIL ADDRESS: STREET 1: 2445 WESTSIDE ROAD CITY: HEALDSBURG STATE: CA ZIP: 95448 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2015-05-05 0 0001227025 NEOPHOTONICS CORP NPTN 0001037108 ABBE CHARLES J 2911 ZANKER RD SAN JOSE CA 95134 1 0 0 0 Common Stock 2015-05-05 4 M 0 5769 3.25 A 48859 D Non-Qualified Stock Option (right to buy) 3.25 2015-05-05 4 M 0 5769 0 D 2024-07-28 Common Stock 5769 1923 D Represents a cash exercise. This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company. By: /s/Clyde R. Wallin, Attorney-in-Fact For: Charles Junggren Abbe 2015-05-06