0001227025-21-000012.txt : 20210126
0001227025-21-000012.hdr.sgml : 20210126
20210126184248
ACCESSION NUMBER: 0001227025-21-000012
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210122
FILED AS OF DATE: 20210126
DATE AS OF CHANGE: 20210126
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jenks Timothy Storrs
CENTRAL INDEX KEY: 0001488795
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35061
FILM NUMBER: 21555848
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: 3081 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 95134
BUSINESS PHONE: 4082329200
MAIL ADDRESS:
STREET 1: 3081 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 95134
4
1
edgardoc.xml
PRIMARY DOCUMENT
X0306
4
2021-01-22
0
0001227025
NEOPHOTONICS CORP
NPTN
0001488795
Jenks Timothy Storrs
3081 ZANKER RD
SAN JOSE
CA
95134
1
1
0
0
CEO
Common Stock
2021-01-22
4
M
0
39000
0.0
A
521588
D
Common Stock
2021-01-22
4
D
0
14069
12.24
D
507519
D
Common Stock
2021-01-22
4
G
0
10850
0.0
D
496669
D
Common Stock
3076
I
As Trustee
Common Stock
3798
I
by Trust
Restricted Stock Units (right to acquire)
0.0
2021-01-22
4
M
0
39000
0.0
D
2025-07-01
Common Stock
39000
91000
D
Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person.
This transaction represents a charitable donation.
Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.
By: /s/ Barbara Rogan, Attorney-in-Fact For: Timothy S. Jenks
2021-01-26