0001227025-21-000118.txt : 20210603 0001227025-21-000118.hdr.sgml : 20210603 20210603171033 ACCESSION NUMBER: 0001227025-21-000118 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210601 FILED AS OF DATE: 20210603 DATE AS OF CHANGE: 20210603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tarazi Ihab Saad CENTRAL INDEX KEY: 0001657370 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 21993461 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 2021-06-01 0 0001227025 NEOPHOTONICS CORP NPTN 0001657370 Tarazi Ihab Saad 3081 ZANKER RD SAN JOSE CA 95134 1 0 0 0 Non-Qualified Stock Option (right to buy) 10.17 2021-06-01 4 A 0 7641 0.0 A 2031-05-31 Common Stock 7641 7641 D Restricted Stock Units (right to acquire) 0.0 2021-06-01 4 A 0 4621 0.0 A 2022-06-01 Common Stock 4621 4621 D This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company. Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company. By: /s/ Barbara Rogan, Attorney-in-fact For: Ihab Saad Tarazi 2021-06-02