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