0001181431-12-043363.txt : 20120802 0001181431-12-043363.hdr.sgml : 20120802 20120802203832 ACCESSION NUMBER: 0001181431-12-043363 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120731 FILED AS OF DATE: 20120802 DATE AS OF CHANGE: 20120802 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: 121005011 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: 000000000 STATE OF INCORPORATION: DE 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 rrd352196.xml X0306 4 2012-07-31 0 0001227025 NEOPHOTONICS CORP NPTN 0001489294 cheung Chiyue 2911 ZANKER ROAD SAN JOSE CA 95134 0 1 0 0 VP and COO Stock Option (Right to buy) 4.94 2012-07-31 4 A 0 10000 0.00 D 2013-07-31 2022-07-30 Common Stock 10000 128000 D Restricted Stock Units (Right to acquire) 0.00 2012-07-31 4 A 0 6600 0.00 D 2013-07-31 Common Stock 6600 134600 D 25% of the option shares shall vest on the one-year anniversary of the grant date, and 1/48th of the total number of shares shall vest on each monthly anniversary of the grant date, so long as the grantee remains an employee of or consultant to the Company. This restricted stock unit is issued pursuant to the 2010 Equity Incentive Plan. The shares vest in three equal annual installments from the grant date, so long as the grantee remains an employee of or consultant to the Company or its qualifying subsidiaries. /s/ Raymond Chi Yue Cheung by James D. Fay, Attorney-in-Fact 2012-08-02