SEC Form 4 · accession 0001227025-18-000075

NEOPHOTONICS CORP · NPTN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO · Director

Period of report

Jul 31, 2018

Accepted (ET)

Aug 1, 2018 · 6:52 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001227025

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Jul 31, 2018	M	21,474	$0.00	A	314,807	D
Common Stock	holding	—	—		—	3,076	I	As Trustee
Common Stock^F2	holding	—	—		—	8,500	I	by Daughter1
Common Stock^F3	holding	—	—		—	7,507	I	by Daughter2
Common Stock^F4	holding	—	—		—	3,798	I	by Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units (right to acquire)^F5,F6	$0.00	Jul 31, 2018	M	21,474	D	—	Jul 31, 2020	Common Stock	21,474	42,946	D

F1Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan.
F2Represents shares held by the reporting person's child, Hana C. Jenks.
F3Represents shares held by the reporting person's child, Saya J. Jenks.
F4Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
F5Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F6The 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.