0001227025-16-000191.txt : 20160817 0001227025-16-000191.hdr.sgml : 20160817 20160817185045 ACCESSION NUMBER: 0001227025-16-000191 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160816 FILED AS OF DATE: 20160817 DATE AS OF CHANGE: 20160817 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: Wupen Yuen CENTRAL INDEX KEY: 0001489550 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 161839699 MAIL ADDRESS: STREET 1: 2911 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2016-08-16 0 0001227025 NEOPHOTONICS CORP NPTN 0001489550 Wupen Yuen 2911 ZANKER RD SAN JOSE CA 95134 0 1 0 0 VICE PRESIDENT GLOBAL PRODUCT Common Stock 2016-08-16 4 S 0 1373.0 15.0 D 36664 D Common Stock 2016-08-16 4 S 0 1373.0 15.0 D 35291 D Common Stock 2016-08-16 4 S 0 9983.0 15.0 D 25308 D Sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. By: /s/ Judi Otteson, General Counsel For: Wupen Yuen 2016-08-17