0001488795-19-000009.txt : 20190801
0001488795-19-000009.hdr.sgml : 20190801
20190801161513
ACCESSION NUMBER: 0001488795-19-000009
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190730
FILED AS OF DATE: 20190801
DATE AS OF CHANGE: 20190801
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: 19992855
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: 2911 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 951342125
BUSINESS PHONE: 4082329200
MAIL ADDRESS:
STREET 1: 2911 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 95134
4
1
edgardoc.xml
PRIMARY DOCUMENT
X0306
4
2019-07-30
0
0001227025
NEOPHOTONICS CORP
NPTN
0001714866
Eby Elizabeth Lynne
2911 ZANKER RD
SAN JOSE
CA
95134
0
1
0
1
SVP, CFO
SVP, CFO
Restricted Stock Units (right to acquire)
0.0
2019-07-30
4
A
0
8000
0.0
A
2022-07-30
2029-07-30
Common Stock
8000
8000
D
Restricted Stock Units (right to acquire)
0.0
2019-07-30
4
A
0
3676
0.0
A
2020-01-30
2029-07-30
Common Stock
3676
11676
D
Restricted Stock Units (right to acquire)
0.0
2019-07-30
4
A
0
40000
0.0
A
2023-07-30
2029-07-30
Common Stock
40000
51676
D
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.
100% of the underlying shares shall vest on the six month anniversary of the Vesting Commencement Date, subject to the recipient's continued service through such date.
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/ Judi Otteson For: Elizabeth Lynne Eby
2019-08-01