0001227025-22-000138.txt : 20220802 0001227025-22-000138.hdr.sgml : 20220802 20220802175456 ACCESSION NUMBER: 0001227025-22-000138 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220730 FILED AS OF DATE: 20220802 DATE AS OF CHANGE: 20220802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wupen Yuen CENTRAL INDEX KEY: 0001489550 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 221130181 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 2022-07-30 0 0001227025 NEOPHOTONICS CORP NPTN 0001489550 Wupen Yuen 3081 ZANKER RD SAN JOSE CA 95134 0 1 0 0 VICE PRESIDENT GLOBAL PRODUCT Common Stock 2022-07-30 4 M 0 2666 0.0 A 202258 D Common Stock 2022-07-30 4 M 0 10000 0.0 A 212258 D Common Stock 2022-07-30 4 D 0 3458 16.0 D 208800 D Common Stock 2022-07-30 4 D 0 922 16.0 D 207878 D Restricted Stock Units (right to acquire) 0.0 2022-07-30 4 M 0 2666 0.0 D 2022-07-30 Common Stock 2666 0 D Restricted Stock Units (right to acquire) 0.0 2022-07-30 4 M 0 10000 0.0 D 2022-07-30 2023-07-30 Common Stock 10000 10000 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. Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock. The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested. 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: Wupen Yuen 2022-08-02