0001209191-17-036770.txt : 20170601 0001209191-17-036770.hdr.sgml : 20170601 20170601161240 ACCESSION NUMBER: 0001209191-17-036770 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170530 FILED AS OF DATE: 20170601 DATE AS OF CHANGE: 20170601 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: RUSNANO CENTRAL INDEX KEY: 0001548606 STATE OF INCORPORATION: 1Z FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 17884870 BUSINESS ADDRESS: STREET 1: 10A 60-LETIYA OKTYABRYA PROSPECT CITY: MOSCOW STATE: 1Z ZIP: 117036 BUSINESS PHONE: 495-988-5388 MAIL ADDRESS: STREET 1: 10A 60-LETIYA OKTYABRYA PROSPECT CITY: MOSCOW STATE: 1Z ZIP: 117036 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-05-30 0 0001227025 NEOPHOTONICS CORP NPTN 0001548606 RUSNANO PROSPECT 60-LETIYA OKTYABRYA 10A MOSCOW 1Z 117036 RUSSIAN FEDERATION 0 0 1 0 Common Stock 2017-05-30 4 S 0 13000 9.071 D 4687005 D Common Stock 2017-05-31 4 S 0 26000 9.07 D 4661005 D This sale price represents the weighted average sale price of the shares sold ranging from $9.07 to $9.08 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. /s/ Yuri Udaltsov, Deputy Chairman of the Management Board of Management Company RUSNANO LLC 2017-06-01