0001227025-22-000102.txt : 20220707 0001227025-22-000102.hdr.sgml : 20220707 20220707200953 ACCESSION NUMBER: 0001227025-22-000102 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220705 FILED AS OF DATE: 20220707 DATE AS OF CHANGE: 20220707 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: cheung Chiyue CENTRAL INDEX KEY: 0001489294 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 221072641 MAIL ADDRESS: STREET 1: 12TH SOUTH KEJI ROAD STREET 2: SOUTH HI-TECH INDUSTRY PARK CITY: SHENZHEN STATE: F4 ZIP: 518057 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 2022-07-05 0 0001227025 NEOPHOTONICS CORP NPTN 0001489294 cheung Chiyue 3081 ZANKER RD SAN JOSE CA 95134 0 1 0 0 Chief Operating Officer Restricted Stock Units (right to acquire) 0.0 2022-07-05 4 A 0 12500 0.0 A 2023-07-05 2023-07-05 Common Stock 12500 12500 D Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. 100% of the underlying shares shall vest on the one-year anniversary of the Vesting Commencement Date, subject to the recipient's continued service through such date. By: /s/ Barbara Rogan For: Chi Yue Raymond Cheung 2022-07-07