0001227025-21-000216.txt : 20210817 0001227025-21-000216.hdr.sgml : 20210817 20210817213040 ACCESSION NUMBER: 0001227025-21-000216 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210816 FILED AS OF DATE: 20210817 DATE AS OF CHANGE: 20210817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eby Elizabeth Lynne CENTRAL INDEX KEY: 0001714866 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 211184865 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 wf-form4_162925021001781.xml FORM 4 X0306 4 2021-08-16 0 0001227025 NEOPHOTONICS CORP NPTN 0001714866 Eby Elizabeth Lynne 3081 ZANKER RD SAN JOSE CA 95134 0 1 0 0 SVP, CFO Common Stock 2021-08-16 4 M 0 30750 0 A 416334 D Restricted Stock Units (right to acquire) 0.0 2021-08-16 4 M 0 30750 0 D Common Stock 30750.0 0 D Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date. By: /s/ Barbara Rogan, Attorney-in-Fact For: Elizabeth Lynne Eby 2021-08-17