0001227025-22-000110.txt : 20220722 0001227025-22-000110.hdr.sgml : 20220722 20220722170041 ACCESSION NUMBER: 0001227025-22-000110 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220720 FILED AS OF DATE: 20220722 DATE AS OF CHANGE: 20220722 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: 221100444 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 2022-07-20 0 0001227025 NEOPHOTONICS CORP NPTN 0001488795 Jenks Timothy Storrs 3081 ZANKER RD SAN JOSE CA 95134 1 1 0 0 CEO Common Stock 2022-07-20 4 D 0 15913 15.71 D 431334 D Common Stock 2022-07-20 4 M 0 33950 0.0 A 465284 D Common Stock 3076 I As Trustee Common Stock 32465 I Trustee- CLAT Common Stock 3200 I Trustee-Family Trust Common Stock 32465 I Trustee-Spouse CLAT Common Stock 3798 I by Trust Restricted Stock Units (right to acquire) 0.0 2022-07-20 2022-07-20 4 M 0 33950 0.0 D 2022-07-20 2025-07-20 Common Stock 33950 101850 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. Represents shares held by Timothy S. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022. Represents shares held by Atsuko K. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022. 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. 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 For: Timothy S. Jenks 2022-07-22