0001227025-21-000138.txt : 20210608 0001227025-21-000138.hdr.sgml : 20210608 20210608171725 ACCESSION NUMBER: 0001227025-21-000138 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210604 FILED AS OF DATE: 20210608 DATE AS OF CHANGE: 20210608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAMASWAMI RAJIV CENTRAL INDEX KEY: 0001483009 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 211003031 MAIL ADDRESS: STREET 1: 5300 CALIFORNIA AVENUE CITY: IRVINE STATE: CA ZIP: 92617 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 2021-06-04 0 0001227025 NEOPHOTONICS CORP NPTN 0001483009 RAMASWAMI RAJIV 3081 ZANKER RD SAN JOSE CA 95134 1 0 0 0 Common Stock 2021-06-04 4 M 0 5228 0.0 A 40438 D Restricted Stock Units (right to acquire) 0.0 2021-06-04 4 M 0 5228 0.0 D 2021-06-04 Common Stock 5228 0 D 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: Rajiv Ramaswami 2021-06-08