0001181431-12-043856.txt : 20120806 0001181431-12-043856.hdr.sgml : 20120806 20120806192320 ACCESSION NUMBER: 0001181431-12-043856 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120802 FILED AS OF DATE: 20120806 DATE AS OF CHANGE: 20120806 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wupen Yuen CENTRAL INDEX KEY: 0001489550 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 121010999 MAIL ADDRESS: STREET 1: 2911 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 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 rrd352348.xml X0306 4 2012-08-02 0 0001227025 NEOPHOTONICS CORP NPTN 0001489550 Wupen Yuen 2911 ZANKER ROAD SAN JOSE CA 95134 0 1 0 0 VP, Product Dev.& Engineering Common Stock 2012-08-02 4 M 0 4000 0 A 9301 D Common Stock 2012-08-02 4 F 0 1501 4.97 D 7800 D Restricted Stock Units (Right to acquire) 2012-08-02 4 M 0 4000 0 D Common stock 4000 8000 D Balance includes non-reportable acquisition of 2,029 shares through the Company's 2010 Employee Stock Purchase Plan. Represents shares reacquired by the Company to satisfy tax withholding obligations in connection with the vesting of 4,000 shares of restricted stock units granted to the reporting person on 08/02/2011. See footnote 4. Each restricted stock unit represents a contingent right to receive one share of Neophotonics common stock. The reporting person received 12,000 restricted stock units subject to the following vesting schedule: the shares vest in three equal annual installments from the grant date, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested. Not applicable. /s/ Wupen Yuen by James D. Fay, Attorney-in-Fact 2012-08-06