0001227025-19-000097.txt : 20191115 0001227025-19-000097.hdr.sgml : 20191115 20191115191434 ACCESSION NUMBER: 0001227025-19-000097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191114 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191115 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: 191225784 MAIL ADDRESS: STREET 1: 2911 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 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 2019-11-14 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 2019-11-14 4 M 0 11200 3.5 A 106685 D Common Stock 2019-11-14 4 S 0 11200 8.5333 D 95485 D Common Stock 2019-11-14 4 S 0 4063 8.5374 D 91422 D Non-Qualified Stock Option (right to buy) 3.5 2019-11-14 4 M 0 11200 8.5333 D 2017-01-01 2020-01-26 Common Stock 11200 0 D By: /s/Judi Otteson, Attorney-in-Fact For: Wupen Yuen 2019-11-15