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