0001227025-18-000095.txt : 20180912 0001227025-18-000095.hdr.sgml : 20180912 20180912163318 ACCESSION NUMBER: 0001227025-18-000095 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180910 FILED AS OF DATE: 20180912 DATE AS OF CHANGE: 20180912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: cheung Chiyue CENTRAL INDEX KEY: 0001489294 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 181067141 MAIL ADDRESS: STREET 1: 12TH SOUTH KEJI ROAD STREET 2: SOUTH HI-TECH INDUSTRY PARK CITY: SHENZHEN STATE: F4 ZIP: 518057 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 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2018-09-10 0 0001227025 NEOPHOTONICS CORP NPTN 0001489294 cheung Chiyue 2911 ZANKER RD SAN JOSE CA 95134 0 1 0 0 Chief Operating Officer Common Stock 2018-09-10 4 M 0 5000 3.5 A 5000 D Common Stock 2018-09-10 4 S 0 5000 8.109 D 0 D Common Stock 2018-09-10 4 M 0 5000 3.5 A 5000 D Common Stock 2018-09-10 4 S 0 5000 8.109 D 0 D Non-Qualified Stock Option (right to buy) 3.5 2018-09-10 4 M 0 5000 8.109 D 2018-11-03 Common Stock 5000 0 D Non-Qualified Stock Option (right to buy) 3.5 2018-09-10 4 M 0 5000 8.109 D 2018-11-04 Common Stock 5000 0 D Exercise 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, Attorney-in-Fact For: Chi Yue Raymond Cheung 2018-09-11