0001183755-15-000004.txt : 20150527 0001183755-15-000004.hdr.sgml : 20150527 20150527163105 ACCESSION NUMBER: 0001183755-15-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150527 FILED AS OF DATE: 20150527 DATE AS OF CHANGE: 20150527 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: OAK IX AFFILIATES FUND A LP CENTRAL INDEX KEY: 0001112125 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 15892722 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 203-226-8346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK IX AFFILIATES FUND LP CENTRAL INDEX KEY: 0001112201 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 15892723 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 203-226-8346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK INVESTMENT PARTNERS IX L P CENTRAL INDEX KEY: 0001095761 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 15892724 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK X AFFILIATES FUND LP CENTRAL INDEX KEY: 0001143824 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 15892725 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK INVESTMENT PARTNERS X LTD PARTNERSHIP CENTRAL INDEX KEY: 0001131676 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 15892726 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARANO BANDEL L CENTRAL INDEX KEY: 0001183755 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 15892727 MAIL ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 1300 CITY: PALO ALTO STATE: CA ZIP: 94301 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-05-27 0001227025 NEOPHOTONICS CORP NPTN 0001183755 CARANO BANDEL L C/O OAK INVESTMENT PARTNERS 901 MAIN AVENUE, SUITE 600 NORWALK CT 06851 1 0 1 0 0001131676 OAK INVESTMENT PARTNERS X LTD PARTNERSHIP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001143824 OAK X AFFILIATES FUND LP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001095761 OAK INVESTMENT PARTNERS IX L P 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001112201 OAK IX AFFILIATES FUND LP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001112125 OAK IX AFFILIATES FUND A LP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 Public offering of Common Stock 2015-05-27 4 P 0 275862 7.25 A 5470780 D Includes purchase of 271,503 shares of Public offering of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); purchase of 4,359 shares of Public offering of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates. Bandel L. Carano is a Director of the Issuer. This Form 4 is being filed by Bandel L. Carano, Oak X, Oak X Affiliates, Oak Investment Partners IX, Limited Partnership, Oak IX Affiliates Fund, Limited Partnership, and Oak IX Affiliates Fund-A, Limited Partnership, collectively the "Reporting Persons". Each Reporting Person disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such Reporting Person's pecuniary interest in such securities) other than any securities reported herein as being directly owned by such Reporting Person, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of any such securities for purposes of Section 16 or for any other purpose. Bandel L. Carano 2015-05-27 /s/ Bandel L. Carano, Managing Member of Oak Associates X, LLC, general partner of Oak Investment Partners X, Limited Partnership 2015-05-27 /s/ Bandel L. Carano, Managing Member of Oak X Affiliates, LLC, general partner of Oak X Affiliates Fund, Limited Partnership 2015-05-27 /s/ Bandel L. Carano, Managing Member of Oak Associates IX, LLC, general partner of Oak Investment Partners IX, Limited Partnership 2015-05-27 /s/ Bandel L. Carano, Managing Member of Oak IX Affiliates, LLC, general partner of Oak IX Affiliates Fund, Limited Partnership 2015-05-27 /s/ Bandel L. Carano, Managing Member of Oak IX Affiliates, LLC, general partner of Oak IX Affiliates Fund-A, Limited Partnership 2015-05-27