Form Type: 4

SEC EDGAR Link
Accession Number:0001227025-18-000026
Date:2018-04-27
Issuer: NEOPHOTONICS CORP (NPTN)
Original Submission Date:

Reporting Person:

CHEUNG CHIYUE
2911 ZANKER RD
SAN JOSE, CA 95134

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2018-04-27 M 5,500 a $0.00 5,500 direct
COMMON STOCK 2018-04-30 D 5,500 d $5.19 0 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS (RIGHT TO ACQUIRE) 0.0 2018-04-27 deemed execution date M 5,500 (d) 2018-10-27 common stock 5,500 $0.00 5,500 direct
Footnotes
IDfootnote
f1 in accordance with the state administration of foreign exchange in china, shares acquired by chinese national employees through an award granted under the company's 2010 eip plan are subject to immediate sale.
f2 each restricted stock unit represents a contingent right to receive one share of neophotonics common stock.
f3 50% of the shares shall vest on the 18-month anniversary of the vesting commencement date, 25% vest on the next 12-month anniversary of the vesting commencement date, and the remaining 25% will vest on the next 6-month anniversary of the vesting commencement date, so long as the optionee remains an employee of or consultant to the company or its qualifying subsidiaries.
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