0001227025-17-000059.txt : 20170516 0001227025-17-000059.hdr.sgml : 20170516 20170516170010 ACCESSION NUMBER: 0001227025-17-000059 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170512 FILED AS OF DATE: 20170516 DATE AS OF CHANGE: 20170516 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: 17849377 MAIL ADDRESS: STREET 1: 2911 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-05-12 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 2017-05-12 4 M 0 22000 3.5 A 51743 D Common Stock 2017-05-12 4 S 0 22000 8.4123 D 29743 D Non-Qualified Stock Option (right to buy) 3.5 2017-05-12 4 M 0 22000 8.4123 D 2017-01-01 2017-05-15 Common Stock 22000 0 D This stock option is subjected to expiring on May 15, 2017. By: /s/Judi Otteson, Attorney-in-Fact For: Wupen Yuen 2017-05-16