0001181431-13-034740.txt : 20130613 0001181431-13-034740.hdr.sgml : 20130613 20130613162934 ACCESSION NUMBER: 0001181431-13-034740 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130611 FILED AS OF DATE: 20130613 DATE AS OF CHANGE: 20130613 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Polikarpov Sergey CENTRAL INDEX KEY: 0001367885 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 13911759 MAIL ADDRESS: STREET 1: 10A 60-LETIYA OKTYABRYA PROSPECT STREET 2: C/O RUSNANO CITY: MOSCOW STATE: 1Z ZIP: 117036 4 1 rrd383350.xml FORM 4 X0306 4 2013-06-11 0 0001227025 NEOPHOTONICS CORP NPTN 0001367885 Polikarpov Sergey 2911 ZANKER ROAD SAN JOSE CA 95134 1 0 0 0 Common Stock 2013-06-11 4 A 0 3090 0 A 3090 D Stock Option (right to buy) 8.09 2013-06-11 4 A 0 3090 0 A 2013-07-11 2023-06-11 Common Stock 3090 3090 D Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service as of such date (as defined in the Issuer's 2010 Equity Incentive Plan). The shares subject to the option will vest in twelve (12) equal monthly installments from the grant date, such that the option is fully vested on the first anniversary of the grant date, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2010 Equity Incentive Plan). /s/ Andrew Chew, Attorney-in-fact for Sergey Polikarpov 2013-06-13