NPTN / NeoPhotonics Corporation - Документы SEC, Годовой отчет, Доверенное заявление

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-35061 NeoPhotonics Corporation (Exact name of registrant as specified in

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 15, 2022, pursuant to the provisions of Rule 12d2-2 (a).

Amended and Restated Bylaws of NeoPhotonics Corporation

Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF NEOPHOTONICS CORPORATION Effective August 3, 2022 TABLE OF CONTENTS Page ARTICLE I — MEETINGS OF STOCKHOLDERS 1 1.1 Place of Meetings 1 1.2 Annual Meeting 1 1.3 Special Meeting 1 1.4 Notice of Stockholders’ Meetings 1 1.5 Quorum 2 1.6 Adjourned Meeting; Notice 2 1.7 Conduct of Business 2 1.8 Voting 3 1.9 Stockholder Action by Written Consent Without a Mee

Amended and Restated Certificate of Incorporation of NeoPhotonics Corporation.

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF NEOPHOTONICS CORPORATION ARTICLE I The name of the corporation is NeoPhotonics Corporation (the “Company”). ARTICLE II The address of the Company’s registered office in the State of Delaware is 1209 Orange Street, in the City of Wilmington, County of New Castle, Delaware 19801. The name of the registered agent at such address is The

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

Credit Line Agreement, dated July 29, 2022, by and between NeoPhotonics Dongguan Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese original agreement).

Exhibit 10.2 Number: BC2022062900002651 Financing Credit Line Agreement Agreement Version: SPDB202109 Credit Line Agreement Credit Line Agreement Company: Neophotonics Dongguan Co., Ltd. (hereinafter referred to as Client) Principle Office Location: Neophotonics Building, No. 8 12th South Keji Road, Hi-Tech Zone, Nanshan District, Shenzhen, China Liaison: Chuanfang Zheng Telephone: 0755-25235818 F

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

Credit Line Agreement dated July 29, 2022, by and between NeoPhotonics (China) Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese original agreement).

Exhibit 10.1 Number: BC2022062900002650 Financing Credit Line Agreement Agreement Version: SPDB202109 Credit Line Agreement Credit Line Agreement Company: Neophotonics (China) Co., Ltd. (hereinafter referred to as Client) Principle Office Location: Neophotonics Building, No. 8 12th South Keji Road, Hi-Tech Zone, Nanshan District, Shenzhen, China Liaison: Chuanfang Zheng Telephone: 0755-25235818 Fa

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 29, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

SAN JOSE, Calif., July 29, 2022 /PRNewswire/ — Lumentum Holdings Inc. (NASDAQ: LITE) (“Lumentum”) and NeoPhotonics Corporation (NYSE: NPTN) (“NeoPhotonics”) today announced, in connection with Lumentum’s pending acquisition of NeoPhotonics, that Lume

Exhibit 99.1 SAN JOSE, Calif., July 29, 2022 /PRNewswire/ ? Lumentum Holdings Inc. (NASDAQ: LITE) (?Lumentum?) and NeoPhotonics Corporation (NYSE: NPTN) (?NeoPhotonics?) today announced, in connection with Lumentum?s pending acquisition of NeoPhotonics, that Lumentum has obtained antitrust clearance from the People?s Republic of China?s State Administration for Market Regulation. This clearance sa

2022 Target Bonus Program

Exhibit 10.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

NeoPhotonics Reports Second Quarter 2022 Financial Results

Exhibit 99.1 NeoPhotonics Reports Second Quarter 2022 Financial Results ?Revenue of $95.0 million represents 46% year-over-year growth over same quarter last year ?Second sequential quarter with 45+% year-over-year growth; first half revenue of $184 million up 46% from same period last year ?$61 million of revenue from products for 400G and above applications, contributing 64% of revenue and repre

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 2, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter) Delaware 001-35061 (State or other jurisdiction of incorpora

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter) Delaware 001-35061 (State or other jurisdiction of incorporation or organization) (Commission File No.) 3081 Zanker Road San Jose, CA 95134 (Address of principal executive offices) (Zip Code) Barbara Rogan 408-

Conflict Minerals Report of NeoPhotonics Corporation.

Exhibit 1.01 to Form SD NeoPhotonics Corporation Conflict Minerals Report For the reporting period from January 1, 2021 to December 31, 2021 This Conflict Minerals Report (this ?Report?) of NeoPhotonics Corporation (the ?Company? or ?we?, ?us? or ?our?) has been prepared pursuant to Rule 13p-1 and Form SD (the ?Rule?) promulgated under the Securities Exchange Act of 1934, as amended, for the repor

Labor Contract dated June 13, 2016, by and between NeoPhotonics (China) Co. and Chi Yue (Raymond) Cheung (Translation to English of Chinese original agreement)

Exhibit 10.1 NeoPhoconics (China) Co., Ltd. Labor Contract Printed in May 2011 Employer: (hereinafter referred to as Party A) Employee: (hereinafter referred to as Party B) Name: NeoPhoconics (China) Co., Ltd. Name: CHEUNG, CHI YUE Type of Corporation: Hong Kong Invested Gender: Male Age: 49 Address: NeoPhotonics Building, 8 Keji ID Card ( Passport ) No.H0714306401 South 12th Road, South Hi-Tech I

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

NeoPhotonics Reports First Quarter 2022 Financial Results

Exhibit 99.1 NeoPhotonics Reports First Quarter 2022 Financial Results ?Revenue of $89.3 million represents 47% year-over-year growth over same quarter last year ?$54 million of revenue from products for 400G and above applications, representing over 70% year-over-year growth ?Now shipping production volume of 400ZR modules to Cloud and data center customers SAN JOSE, Calif. ? April 28, 2022 - Neo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

Offer Letter dated June 25, 2021 by and between NeoPhotonics Corporation and Bradford Wright.

Exhibit 10.20 June 25, 2021 Mr. Bradford Wright Chicago, Illinois Via email delivery Dear Brad, On behalf of NeoPhotonics Corporation, I am pleased to extend this offer of employment on the terms outlined below. Should you accept this offer, you will serve in a full time capacity as Senior Vice President, Global Sales, reporting to Tim Jenks, CEO. You will work from your residence in Chicago, Illi

List of subsidiaries of NeoPhotonics Corporation.

Exhibit 21.1 LIST OF SUBSIDIARIES OF NEOPHOTONICS CORPORATION SUBSIDIARY JURISDICTION NeoPhotonics Corporation Limited Hong Kong NeoPhotonics (China) Co., Ltd. People?s Republic of China NeoPhotonics Dongguan Co., Ltd. People?s Republic of China Novel Centennial Limited British Virgin Islands NeoPhotonics Semiconductor, Godo Kaisha Japan NeoPhotonics Technics Limited Liability Company Russia NeoPh

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to 001-35061 (Commission File No.

Retention Agreement dated July 27, 2021 by and between NeoPhotonics Corporation and Bradford Wright

Exhibit 10.21 NeoPhotonics Corporation Retention Agreement This Retention Agreement (this ?Agreement?) is made and entered into by and between Bradford Wright (the ?Employee?) and NeoPhotonics Corporation, a Delaware corporation (the ?Company?), effective as of July 27, 2021. RECITALS A.The Board of Directors of the Company (the ?Board?) believes that it is in the best interests of the Company and

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emp

NeoPhotonics Reports Fourth Quarter and Full Year 2021 Financial Results

Exhibit 99.1 NeoPhotonics Reports Fourth Quarter and Full Year 2021 Financial Results ? Year-over-year growth of products for 400G and above applications exceeded 70% to $148 million ? Growth of 18% over the same quarter last year despite supply chain shortages ? Three Cloud and data center switch design wins for 400ZR DCO modules ? Proposed merger agreement with Lumentum approved by stockholders;

NPTN / NeoPhotonics Corp, / Russell Investments Group, Ltd. - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1) * NeoPhotonics Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi

NPTN / NeoPhotonics Corp, / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: NeoPhotonics Corp. Title of Class of Securities: Common Stock CUSIP Number: 64051T100 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ??

Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2022 NeoPhotonics Corporation (Exact name of Registrant as Specified in Its Charter) Delaware 001-35601 94-3253730 (State of Incorporation) (Commission File Number) (IRS E

NeoPhotonics Stockholders Approve Merger Agreement with Lumentum

Exhibit 99.1 NeoPhotonics Stockholders Approve Merger Agreement with Lumentum SAN JOSE, Calif., Feb. 1, 2022? NeoPhotonics Corporation (NYSE: NPTN) (?NeoPhotonics?), a leading developer of silicon photonics and advanced hybrid photonic integrated circuit-based lasers, modules and subsystems for bandwidth-intensive, high speed communications networks, stated that today the NeoPhotonics stockholders

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2022 NeoPhotonics Corporation (Exact name of Registrant as Specified in Its Charter) Delaware 001-35061 94-3253730 (State of Incorporation) (Commission File Number) (IRS E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2022 NeoPhotonics Cor

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2022 NeoPhotonics Corporation (Exact name of Registrant as Specified in Its Charter) Delaware 001-35061 94-3253730 (State of Incorporation) (Commission File Number) (IRS E

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 21, 2022 (January 20, 2022) NEOPHOTONICS CORPORATION (Exact name of Registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 21, 2022 (January 20, 202

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 21, 2022 (January 20, 2022) NEOPHOTONICS CORPORATION (Exact name of Registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission

Lumentum and NeoPhotonics Announce HSR Clearance

Exhibit 99.1 Lumentum and NeoPhotonics Announce HSR Clearance SAN JOSE, Calif., Jan. 21, 2022 /PRNewswire/ ? Lumentum Holdings Inc. (NASDAQ: LITE) (?Lumentum?) and NeoPhotonics Corporation (NYSE: NPTN) (?NeoPhotonics?) today announced the expiration of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the ?HSR Act?) with respect to Lumentum?s pending transaction wi

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Empl

Subordination Agreement, dated as of January 14, 2022, by and among Lumentum Holdings Inc., NeoPhotonics Corporation, the other loan parties party thereto, and Wells Fargo Bank.

Exhibit 10.2 EXECUTION VERSION SUBORDINATION AGREEMENT THIS SUBORDINATION AGREEMENT (this ?Agreement?) is entered into as of January 14, 2022, by and among LUMENTUM HOLDINGS INC., a Delaware corporation (?Lumentum? and, solely in its capacity as a holder of Subordinated Debt and not in any other capacity, the ?Subordinated Creditor?), NEOPHOTONICS CORPORATION, a Delaware corporation (the ?Company?

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2022 NEOPHOTONICS COR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2022 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Empl

Credit Agreement, dated as of January 14, 2022, between Lumentum Holdings Inc. and NeoPhotonics Corporation.

Exhibit 10.1 Execution Version ALL OBLIGATIONS INCURRED UNDER THIS CREDIT AGREEMENT OR ANY OTHER LOAN DOCUMENT (AS DEFINED HEREIN) ARE SUBORDINATE IN THE MANNER AND TO THE EXTENT SET FORTH IN THAT CERTAIN SUBORDINATION AGREEMENT DATED AS OF JANUARY 14, 2022 (THE ?SUBORDINATION AGREEMENT?) AMONG THE LENDER (AS DEFINED HEREIN), WELLS FARGO BANK, NATIONAL ASSOCIATION, AND NEOPHOTONICS CORPORATION TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 (November 3, 2021) NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission

Agreement and Plan of Merger, dated as of November 3, 2021.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among LUMENTUM HOLDINGS INC. NEPTUNE MERGER SUB, INC. and NEOPHOTONICS CORPORATION Dated as of November 3, 2021 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS & INTERPRETATIONS 1 1.1 Certain Definitions 1 1.2 Additional Definitions 10 1.3 Certain Interpretations 14 ARTICLE II THE MERGER 15 2.1 The Merger 15 2.2 The Effective Time of the Merger 15 2.3 T

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 (November 3, 202

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 (November 3, 2021) NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorpora

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 (November 3, 202

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 (November 3, 2021) NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission

LUMENTUM TO ACQUIRE NEOPHOTONICS TO ACCELERATE OPTICAL NETWORK SPEED AND SCALABILITY

Exhibit 99.2 LUMENTUM TO ACQUIRE NEOPHOTONICS TO ACCELERATE OPTICAL NETWORK SPEED AND SCALABILITY ? Combination accelerates Lumentum?s penetration of the fast-growing opportunity for high-speed optical components for cloud and telecom network infrastructure and creates a better partner for customers globally ? Expected to be immediately accretive to non-GAAP earnings per share and deliver more tha

2021 Target Bonus Program

Exhibit 10.3 2021 Target Bonus Program On September 28, 2021, the Compensation Committee (the ?Compensation Committee?) of the Board of Directors of NeoPhotonics Corporation (the ?Company?) approved a 2021 incentive bonus program (the ?2021 Bonus Program?) for the Company?s executive officers and other employees. The Compensation Committee structured target bonuses for the fiscal year 2021 so that

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 (November 3, 2021) NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission

NeoPhotonics Reports Third Quarter 2021 Financial Results

Exhibit 99.1 NeoPhotonics Reports Third Quarter 2021 Financial Results ? Separately, NeoPhotonics and Lumentum Holdings Inc jointly announced a definitive agreement under which Lumentum would acquire NeoPhotonics for $16.00 per share in cash ? NeoPhotonics cancels today?s regular conference call to discuss third quarter results SAN JOSE, Calif. ? November 4, 2021?NeoPhotonics Corporation (NYSE: NP

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Em

3081 Zanker Road, San Jose, CA 95134-2125 USA T +1.408.232.9200 F +1.408.433.4898 www.neophotonics.com

CORRESP 1 filename1.htm August 31, 2021 Via Edgar United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ernest Greene RE: NeoPhotonics Corporation Registration Statement on Form S-3 File No. 333-258862 Ladies and Gentlemen: NeoPhotonics Corporation (the “Registrant”) hereby requests that the Securities and Exchange Commission

As filed with the Securities and Exchange Commission on August 27, 2021 Registration No. 333-258862 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 FORM S-3 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Neo

Table of Contents As filed with the Securities and Exchange Commission on August 27, 2021 Registration No.

Form of Debt Indenture

NEOPHOTONICS CORPORATION, Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of , 20 Debt Securities Table Of Contents Page ARTICLE 1 DEFINITIONS 1 Section 1.

Form of Common Stock Warrant Agreement and Warrant Certificate

NEOPHOTONICS CORPORATION AND , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT Dated as of , 20 FORM OF COMMON STOCK WARRANT AGREEMENT This Common Stock Warrant Agreement (this ?Agreement?), dated as of [?], between NeoPhotonics Corporation, a Delaware corporation (the ?Company?), and [?], a [corporation] [national banking association] organized and existing under the laws of [?] and having a corporate trust office in [?], as warrant agent (the ?Warrant Agent?).

Form of Preferred Stock Warrant Agreement and Warrant Certificate

NEOPHOTONICS CORPORATION AND , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT Dated as of , 20 FORM OF PREFERRED STOCK WARRANT AGREEMENT This Preferred Stock Warrant Agreement (this ?Agreement?), dated as of [?], between NeoPhotonics Corporation, a Delaware corporation (the ?Company?), and [?], a [corporation] [national banking association] organized and existing under the laws of [?] and having a corporate trust office in [?], as warrant agent (the ?Warrant Agent?).

Form of Debt Securities Warrant Agreement and Warrant Certificate

NEOPHOTONICS CORPORATION AND , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT Dated as of , 20 FORM OF DEBT SECURITIES WARRANT AGREEMENT This Debt Securities Warrant Agreement (this ?Agreement?), dated as of [?], between NeoPhotonics Corporation, a Delaware corporation (the ?Company?), and [?], a [corporation] [national banking association] organized and existing under the laws of [?] and having a corporate trust office in [?], as warrant agent (the ?Warrant Agent?).

As filed with the Securities and Exchange Commission on August 16, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 NeoPhotonics Corporation

Table of Contents As filed with the Securities and Exchange Commission on August 16, 2021 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00

Property Lease Contract dated July 27, 2021, by and between NeoPhotonics Dongguan Co., Ltd. and Dongguan Conrad Hi-Tech Park, Ltd.

EX-10.4 2 exhibit104propertyleasecon.htm EX-10.4 东莞安力科技园建造有限公司 与 东莞新飞通光电子技术有限公司 之 房屋租赁合同 PROPERTY LEASE CONTRACT BETWEEN DONGGUAN CONRAD HI-TECH PARK LTD. AND NEOPHOTONICS DONGGUAN CO., LTD 中国东莞 DONGGUAN, CHINA 合同目录 TABLE OF CONTRACT 1.总则 GENERAL PROVISIONS 3 2.租赁物的租赁 LEASE OF THE LEASED PROPERTY 5 3.租金、及其它费用 RENT AND OTHER CHARGES 6 4.公共设施 UTILITIES 10 5.出租方责任 RESPONSIBILITIES OF LESSOR 10 6.承租方责

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

NeoPhotonics Reports Second Quarter 2021 Financial Results

NeoPhotonics Reports Second Quarter 2021 Financial Results ?Product Revenue for 400G and above applications grew 100% year-over-year ?400ZR modules are in General Availability SAN JOSE, Calif.

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 2, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

Amended and Restated Credit Agreement, dated as of June 29, 2021, among NeoPhotonics Corporation, the lenders that are parties thereto and Wells Fargo Bank, National Association, as administrative agent

EXECUTION VERSION DB1/ 121979154.7 AMENDED AND RESTATED CREDIT AGREEMENT by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, as Agent, THE LENDERS THAT ARE PARTIES HERETO as the Lenders, and NEOPHOTONICS CORPORATION as Borrower Dated as of June 29, 2021 TABLE OF CONTENTS Page -i- DB1/ 121979154.7 1. DEFINITIONS AND CONSTRUCTION .....................................................................

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

Credit Line Agreement, dated June 17, 2021, by and between NeoPhotonics Dongguan Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese original agreement)

Agreement No.:BC2021022400001104 Credit Line Agreement Agreement Version: SPDB201912 Credit Line Agreement Credit Line Agreement Company: NeoPhotonics Dongguan Co., Ltd. (Hereinafter referred to as ?Client?) Principal Office Location: NeoPhotonics Building, No. 8 12th South Keji Road, Hi-Tech Zone, Nanshan District, Shenzhen, China Liaison: Chuanfang Zheng Telephone: 2523518 Fax: / Email: / Bank:

Credit Line Agreement dated June 17, 2021, by and between NeoPhotonics (China) Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese original agreement)

Agreement No.:BC2021022400001103 Credit Line Agreement Agreement Version: SPDB201912 Credit Line Agreement Credit Line Agreement Company: NeoPhotonics (China) Co., Ltd. (Hereinafter referred to as ?Client?) Principal Office Location: NeoPhotonics Building, No. 8 12th South Keji Road, Hi-Tech Zone, Nanshan District, Shenzhen, China Liaison: Chuanfang Zheng Telephone: 2523518 Fax: / Email: / Bank: S

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

As filed with the Securities and Exchange Commission on June 10, 2021

S-8 1 s-8060921document.htm S-8 As filed with the Securities and Exchange Commission on June 10, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 94-3253730 (State or other jurisdiction of incorpo

NeoPhotonics Corporation -

EX-99.1 5 exhibit991-2020equityincen.htm EX-99.1 NEOPHOTONICS CORPORATION 2020 EQUITY INCENTIVE PLAN (AS AMENDED AND RESTATED) 1.General. a.Prior Plans. Following April 13, 2020, no additional awards may be granted under the 2010 Plan. Following April 14, 2020, no additional awards may be granted under the Inducement Plan. All outstanding awards granted under the Prior Plans will remain subject to

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

Conflict Minerals Report of NeoPhotonics Corporation.

Exhibit 1.01 to Form SD NeoPhotonics Corporation Conflict Minerals Report For the reporting period from January 1, 2020 to December 31, 2020 This Conflict Minerals Report (this ?Report?) of NeoPhotonics Corporation (the ?Company?) has been prepared pursuant to Rule 13p-1 and Form SD (the ?Rule?) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from Januar

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ________________ Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter)

SD 1 formsd2021-mayx20draft.htm SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State or other jurisdiction of incorporation or organization) (Commission File No.) (I.R.S. Employer Identification No.) (Address of principal e

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

NeoPhotonics Reports First Quarter 2021 Financial Results

EX-99.1 2 exhibit9914292021.htm EX-99.1 NeoPhotonics Reports First Quarter 2021 Financial Results • Products for 400G and above applications grew 134% year-over-year • Revenue, Gross Margin & Operating profit above mid-point of guidance • Announced successful completion of 2,000 hours of high temperature reliability testing for QSFP-DD 400ZR modules, plus successful demonstrations in fully populat

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0

- DEFA14A

DEFA14A 1 neophotonicsdefa14a2020.htm DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy St

Schedule 14A

DEF 14A 1 neophotonicsproxyapril2021.htm DEF 14A Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

Updated Retention Agreement, dated March 25, 2021, between Yang Chiah Yee and NeoPhotonics Corporation.

NeoPhotonics Corporation Confidential Information NeoPhotonics Corporation Retention Agreement This Retention Agreement (this ?Agreement?) is made and entered into by and between Yang Chiah Yee (the ?Employee?) and NeoPhotonics Corporation, a Delaware corporation (the ?Company?), effective as of March 25, 2021.

NeoPhotonics Reports Fourth Quarter and Fiscal Year 2020 Financial Results

NeoPhotonics Reports Fourth Quarter and Fiscal Year 2020 Financial Results ?Revenue growth to $371.

List of subsidiaries of NeoPhotonics Corporation.

Exhibit 21.1 LIST OF SUBSIDIARIES OF NEOPHOTONICS CORPORATION SUBSIDIARY JURISDICTION NeoPhotonics Corporation Limited Hong Kong NeoPhotonics (China) Co., Ltd. People?s Republic of China NeoPhotonics Dongguan Co., Ltd. People?s Republic of China Novel Centennial Limited British Virgin Islands NeoPhotonics Semiconductor, Godo Kaisha Japan NeoPhotonics Technics Limited Liability Company Russia NeoPh

Annual Report - 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to 001-35061 (Commission File No.

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2021 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emp

SCHEDULE 13G

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* NeoPhotonics Corp (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: NeoPhotonics Corp. Title of Class of Securities: Common Stock CUSIP Number: 64051T100 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule

2020 Bonus Program

Exhibit 10.1 2020 Target Bonus Program On July 20, 2020, the Compensation Committee (the “Compensation Committee”) of the Board of Directors approved a 2020 incentive bonus program (the “2020 Bonus Program”) for the Company’s executive officers and other employees. The Compensation Committee structured target bonuses for the fiscal year 2020 so that payouts would be determined based in part on ach

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Empl

NeoPhotonics Reports Third Quarter 2020 Financial Results

NeoPhotonics Reports Third Quarter 2020 Financial Results • Revenue of $102.4 million for the quarter, up 11% year-over-year • Three customers greater than 10% of revenue • Generated $15.0 million of cash from operations SAN JOSE, California - November 2, 2020 - NeoPhotonics Corporation (NYSE: NPTN), a leading developer of silicon photonics and advanced hybrid photonic integrated circuit-based las

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe

NeoPhotonics Announces Initiatives to Align Cost Structure and Provides Preliminary Third Quarter Financial Results Future Growth to be Driven by Next Generation Technologies Including 64/96 Gbaud and 400ZR Products & Solutions Company to Host Q3’20

NeoPhotonics Announces Initiatives to Align Cost Structure and Provides Preliminary Third Quarter Financial Results Future Growth to be Driven by Next Generation Technologies Including 64/96 Gbaud and 400ZR Products & Solutions Company to Host Q3’20 Earnings Call on November 2, 2020; Details to Follow SAN JOSE, Calif.

Costs Associated with Exit or Disposal Activities, Results of Operations and Financial Condition - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emplo

Regulation FD Disclosure - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emplo

NeoPhotonics Provides Business Update Following Recent U.S. Department of Commerce Tightening of Restrictions on Huawei

NeoPhotonics Provides Business Update Following Recent U.S. Department of Commerce Tightening of Restrictions on Huawei • Reaffirms third quarter 2020 outlook • Highlights broad growth from customers beyond Huawei • Targeting a return to profitability by the end of 2021, excluding Huawei SAN JOSE, Calif. - August 31, 2020 - NeoPhotonics Corporation (NYSE: NPTN), a leading developer of silicon phot

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00

Amended Non-Employee Director Compensation Policy

EX-10.2 2 non-employeedirectorcomp.htm EX-10.2 Non-Employee Director Compensation Policy Effective: April 25, 2013 as amended by the Board on January 18, 2017 and by the Compensation Committee on June 2, 2020 Each member of the Board of Directors (the “Board”) who is not also serving as an employee of NeoPhotonics Corporation (“NeoPhotonics”) or any of its subsidiaries (each such member, a “Direct

NeoPhotonics Reports Second Quarter 2020 Financial Results

NeoPhotonics Reports Second Quarter 2020 Financial Results • Revenue of $103.2 million for the quarter, up 26% year-over-year • Four consecutive profitable quarters, with record non-GAAP operating profit of $10.7 million, and GAAP operating profit of $6.6 million SAN JOSE, California - August 4, 2020 - NeoPhotonics Corporation (NYSE: NPTN), a leading developer of silicon photonics and advanced hyb

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

2020 Equity Incentive Plan and forms of agreement thereunder

Exhibit 99.1 NEOPHOTONICS CORPORATION 2020 EQUITY INCENTIVE PLAN NeoPhotonics Confidential TABLE OF CONTENTS Page 1. GENERAL 1 2. SHARES SUBJECT TO THE PLAN 1 3. ELIGIBILITY AND LIMITATIONS 2 4. OPTIONS AND STOCK APPRECIATION RIGHTS 3 5. AWARDS OTHER THAN OPTIONS AND STOCK APPRECIATION RIGHTS 7 6. ADJUSTMENTS UPON CHANGES IN COMMON STOCK; OTHER CORPORATE EVENTS 9 7. ADMINISTRATION 11 8. TAX WITHHO

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 2, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

June 4, 2020 (File No. 333-238938)

As filed with the Securities and Exchange Commission on June 4, 2020 Registration No.

- FORM SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State or other jurisdiction of incorporation or organization) (Commission File No.) (I.R.S. Employer Identification No.) (Address of principal executive offices) 3081 Zanker Road

Conflict Minerals Report of NeoPhotonics Corporation.

Exhibit 1.01 NeoPhotonics Corporation Conflict Minerals Report For the reporting period from January 1, 2019 to December 31, 2019 This Conflict Minerals Report (this “Report”) of NeoPhotonics Corporation (the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2019 t

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

NeoPhotonics Reports First Quarter 2020 Financial Results

NeoPhotonics Reports First Quarter 2020 Financial Results • Revenue of $97.4 million for the quarter, up 23% year-over-year • Gross Margin was 30.5%, nearly 11 percentage points higher year-over-year SAN JOSE, Calif. - April 30, 2020 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of advanced hybrid photonic integrated circuit-based modules and subsystems for bandwidth

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted b

- DEF 14A

Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

March 6, 2020 (File No. 333-236970)

As filed with the Securities and Exchange Commission on March 6, 2020 Registration No.

Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emp

Annual Report - 10-K/A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A (Amendment No. 1) (Mark One) ☒ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to 001-35061 (C

List of subsidiaries of NeoPhotonics Corporation.

Exhibit 21.1 LIST OF SUBSIDIARIES OF NEOPHOTONICS CORPORATION SUBSIDIARY JURISDICTION NeoPhotonics Corporation Limited Hong Kong NeoPhotonics (China) Co., Ltd. People’s Republic of China NeoPhotonics Dongguan Co., Ltd. People’s Republic of China Novel Centennial Limited British Virgin Islands NeoPhotonics Semiconductor, Godo Kaisha Japan NeoPhotonics Technics Limited Liability Company Russia NeoPh

Letter from Deloitte & Touche LLP to the Securities and Exchange Commission dated March 3, 2020.

Exhibit 16.1 March 3, 2020 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of NeoPhotonics Corporation’s Form 8-K dated March 3, 2020, and have the following comments: 1. We are in agreement with the statements made in paragraphs one through five of Item 4.01(a). 2. We have no basis on which to agree or disagree with other

Description of Securities

Exhibit 4.2 DESCRIPTION OF CAPITAL STOCK General NeoPhotonics Corporation, or the Company, is authorized to issue up to 100,000,000 shares of common stock, $0.0025 par value per share, or common stock, and 10,000,000 shares of preferred stock, $0.0025 par value per share, or preferred stock. The following summary description is based on the provisions of our certificate of incorporation, our amend

Annual Report - 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to 001-35061 (Commission File No.)

Description of Securities

Exhibit 4.2 DESCRIPTION OF CAPITAL STOCK General NeoPhotonics Corporation, or the Company, is authorized to issue up to 100,000,000 shares of common stock, $0.0025 par value per share, or common stock, and 10,000,000 shares of preferred stock, $0.0025 par value per share, or preferred stock. The following summary description is based on the provisions of our certificate of incorporation, our amend

List of subsidiaries of NeoPhotonics Corporation.

Exhibit 21.1 LIST OF SUBSIDIARIES OF NEOPHOTONICS CORPORATION SUBSIDIARY JURISDICTION NeoPhotonics Corporation Limited Hong Kong NeoPhotonics (China) Co., Ltd. People’s Republic of China NeoPhotonics Dongguan Co., Ltd. People’s Republic of China Novel Centennial Limited British Virgin Islands NeoPhotonics Semiconductor, Godo Kaisha Japan NeoPhotonics Technics Limited Liability Company Russia NeoPh

NeoPhotonics Reports Fourth Quarter and Fiscal Year 2019 Financial Results

EX-99.1 2 exhibit991201902272020.htm EXHIBIT 99.1 NeoPhotonics Reports Fourth Quarter and Fiscal Year 2019 Financial Results • Revenue of $103.4 million for the quarter, up 12% sequentially; up 13% year-over-year • Gross margins expanded 2 points over the prior quarter to 30% on a GAAP basis and 31% non-GAAP SAN JOSE, Calif. - February 27, 2020 - NeoPhotonics Corporation (NYSE: NPTN), a leading de

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2020 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emp

NPTN / NeoPhotonics Corp, / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* NEOPHOTONICS CORP (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched

NPTN / NeoPhotonics Corp, / Boston Partners - ROBECO INVESTMENT MANAGEMENT INC. Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* NEOPHOTONICS CORP (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched

NPTN / NeoPhotonics Corp, / OAK MANAGEMENT CORP - NEOPHOTONICS CORPORATION Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 8)* NeoPhotonics Corporation (Name of Issuer) Common Stock, $0.0025 par value per share (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule purs

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number:

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Empl

NeoPhotonics Reports Third Quarter 2019 Financial Results

NeoPhotonics Reports Third Quarter 2019 Financial Results • Revenue of $92.4 million for the quarter, up 13% sequentially and year-over-year • Operating Profit of $1.3 million, non-GAAP Operating Profit of $4.4 million SAN JOSE, Calif. - October 31, 2019 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications net

NPTN / NeoPhotonics Corp, CORRESP - -

Via EDGAR September 25, 2019 U.S. Securities and Exchange Commission Division of Corporation Finance Washington, DC 20549 Attn: Ms. Claire DeLabar / Mr. Robert Littlepage Re: NeoPhotonics Corporation Form 10-K for Fiscal Year Ended December 31, 2018 Filed March 8, 2019 File No. 001-35061 Ladies and Gentlemen: On behalf of NeoPhotonics Corporation (the “Company”), we are providing this letter in re

2019 Bonus Program

Exhibit 10.2 2019 Target Bonus Program On June 19, 2019, the Compensation Committee of the Board (the “Compensation Committee”) approved a 2019 incentive bonus program (the “2019 Bonus Program”) for the Company’s executive officers and other employees. The Compensation Committee structured target bonuses for the fiscal year 2019 so that payouts would be determined based in part on achievement agai

Quarterly Report - 10-Q/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number:

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00

August 6, 2019 (File No. 333-233032)

As filed with the Securities and Exchange Commission on August 5, 2019 Registration No.

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

NeoPhotonics Reports Second Quarter 2019 Financial Results

NeoPhotonics Reports Second Quarter 2019 Financial Results • Revenue of $81.7 million for the quarter, up 1% year-over-year • High Speed Products represented 89% of total revenue for the quarter SAN JOSE, Calif. - August 5, 2019 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telecom and data

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

103,734 Shares of Common Stock Plus an Additional $4,500,000 of Shares of Common Stock

Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No.

NPTN / NeoPhotonics Corp, CORRESP - -

Via EDGAR July 30, 2019 U.S. Securities and Exchange Commission Division of Corporation Finance Washington, DC 20549 Attn: Ms. Claire DeLabar / Mr. Robert Littlepage Re: NeoPhotonics Corporation Form 10-K for Fiscal Year Ended December 31, 2018 Filed March 8, 2019 File No. 001-35061 Ladies and Gentlemen: On behalf of NeoPhotonics Corporation (the “Company”), we are providing this letter in respons

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 3, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

First Amendment to Credit Agreement and First Amendment to Guaranty and Security Agreement dated June 14, 2019, with Wells Fargo Bank, National Association, as administrative agent, and the lenders party thereto.

EX-10.1 2 a19-118011ex10d1.htm EX-10.1 Exhibit 10.1 FIRST AMENDMENT TO CREDIT AGREEMENT AND FIRST AMENDMENT TO GUARANTY AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO CREDIT AGREEMENT AND FIRST AMENDMENT TO GUARANTY AND SECURITY AGREEMENT (this “Amendment”), dated as of June 14, 2019, is entered into by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, a national banking association, as administra

Current Report

8-K 1 a19-1180118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commis

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

EX-24

Exhibit 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Timothy Jenks, Elizabeth Eby, Judi Otteson and John Sellers, signing individually, the undersigned's true and lawful attorneys-in fact and agents to: (1) execute for and on behalf of the undersigned, an officer, director or holder of 10% of more of a registered class of securities

NPTN / NeoPhotonics Corp, / RUSNANO - AMENDMENT TO FORM SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* NeoPhotonics Corporation (Name of Issuer) Common Stock, par value $0.0025 per share (Title of Class of Securities) 64051T100 (CUSIP Number) Joint Stock Company “RUSNANO” Office 708.1, Prospect 60-letiya Oktyabrya 10a 117036 Moscow Russian Federation +7 (

Conflict Minerals Report of NeoPhotonics Corporation.

Exhibit 1.01 to Form SD NeoPhotonics Corporation Conflict Minerals Report For the reporting period from January 1, 2018 to December 31, 2018 This Conflict Minerals Report (this “Report”) of NeoPhotonics Corporation (the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from Januar

NPTN / NeoPhotonics Corp, SD - - SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State or other jurisdiction of incorporation or organization) (Commission File No.) (I.R.S. Employer Identification No.) (Address of principal executive offices) 2911 Zanker Road

our Quarterly Report on Form 10-Q, for the quarter ended March 31, 2019, filed with the SEC on May 7, 2019;

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0

NeoPhotonics Reports First Quarter 2019 Financial Results

NeoPhotonics Reports First Quarter 2019 Financial Results • Revenue of $79.4 million for the quarter, up 16% year-over-year • High Speed Products represented 88% of total revenue for the quarter SAN JOSE, Calif. - May 2, 2019 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telecom and data cen

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

NPTN / NeoPhotonics Corp, DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy State

Amended and Restated 2010 Employee Stock Purchase Plan

Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

April 15, 2019 (File No. 333-230859)

S-8 1 a19-83251s8.htm S-8 As filed with the Securities and Exchange Commission on April 12, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 94-3253730 (State or other jurisdiction of incorporatio

List of subsidiaries of NeoPhotonics Corporation.

Exhibit 21.1 LIST OF SUBSIDIARIES OF NEOPHOTONICS CORPORATION SUBSIDIARY JURISDICTION NeoPhotonics Corporation Limited Hong Kong NeoPhotonics (China) Co., Ltd. People’s Republic of China NeoPhotonics Dongguan Co., Ltd. People’s Republic of China Novel Centennial Limited British Virgin Islands NeoPhotonics Semiconductor, Godo Kaisha Japan NeoPhotonics Corporation, LLC Russia NeoPhotonics Technics L

our Annual Report on Form 10-K, for the year ended December 31, 2018, filed with the SEC on March 8, 2019;

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to 001-35061 (Commission File No.

Framework Purchase Agreement dated December 14, 2018 by and between NeoPhotonics Corporation and Joint Stock Company “RUSNANO.”

EXECUTION VERSION JOINT STOCK COMPANY "RUSNANO" and LIMITED LIABILITY COMPANY "RNI" as the Purchasers and NEOPHOTONICS CORPORATION as the Seller FRAMEWORK PURCHASE AGREEMENT DATED 14 December 2018 Table of Contents 1.

Results of Operations and Financial Condition

8-K 1 a8-k201822819document.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorpora

NeoPhotonics Reports Fourth Quarter and Fiscal Year 2018 Financial Results

EX-99.1 2 exhibit991201822819.htm EXHIBIT 99.1 NeoPhotonics Reports Fourth Quarter and Fiscal Year 2018 Financial Results • Revenue of $91.1 million for the quarter, up 11% sequentially; up 19% year-over-year • High Speed Products represented 86% of total revenue for the quarter SAN JOSE, Calif. - February 28, 2019 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of opt

NPTN / NeoPhotonics Corp, / Boston Partners - ROBECO INVESTMENT MANAGEMENT INC. Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 NEOPHOTONICS CORP (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] R

NPTN / NeoPhotonics Corp, / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 dfs018.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* NEOPHOTONICS CORP (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate

NPTN / NeoPhotonics Corp, / Russell Investments Group, Ltd. - SC 13G Passive Investment

SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* NeoPhotonics Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi

NPTN / NeoPhotonics Corp, / OAK MANAGEMENT CORP - NEOPHOTONICS CORPORATION Passive Investment

SC 13G/A 1 p19-0215sc13ga.htm NEOPHOTONICS CORPORATION SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 7)* NeoPhotonics Corporation (Name of Issuer) Common Stock, $0.0025 par value per share (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of This Statemen

NeoPhotonics Announces Preliminary Financial Results for the Fourth Quarter

Exhibit 99.1 For Immediate Release NeoPhotonics Announces Preliminary Financial Results for the Fourth Quarter SAN JOSE, Calif. -January 14, 2019 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telecom and datacenter applications, today announced preliminary fourth quarter results which reflec

Costs Associated with Exit or Disposal Activities, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2019 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Empl

NPTN / NeoPhotonics Corp, / RUSNANO - AMENDED SC 13D Activist Investment

SC 13D/A 1 rsnosc13da-112718.htm AMENDED SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* NeoPhotonics Corporation (Name of Issuer) Common Stock, par value $0.0025 per share (Title of Class of Securities) 64051T100 (CUSIP Number) Joint Stock Company “RUSNANO” Office 708.1, Prospect 60-letiya Oktyabrya 10a 117

NPTN / NeoPhotonics Corp, 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe

Results of Operations and Financial Condition

8-K 1 a8-k2018q3document.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation

NeoPhotonics Reports Third Quarter 2018 Financial Results

NeoPhotonics Reports Third Quarter 2018 Financial Results • Revenue of $81.7 million for the quarter • Gross margin was up 400 basis points sequentially SAN JOSE, Calif. - November 2, 2018 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telecom and data center applications, today announced fin

NeoPhotonics Reports Second Quarter 2018 Financial Results

NeoPhotonics Reports Second Quarter 2018 Financial Results • Revenue of $81.1 million for the quarter • High Speed Products increased to 86% of total revenue for the quarter SAN JOSE, Calif. - August 6, 2018 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telecom and data center applications,

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

2018 Bonus Program

Exhibit 10.1 2018 Target Bonus Program On April 10, 2018, the Compensation Committee (the “Compensation Committee”) of the Board of Directors of NeoPhotonics Corporation (the “Company”) approved a 2018 incentive bonus program (the “2018 Bonus Program”) for the Company’s executive officers and other employees. The Compensation Committee structured target bonuses for the fiscal year 2018 so that pay

NPTN / NeoPhotonics Corp, 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00

Current Report

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS

Conflict Minerals Report of NeoPhotonics Corporation.

Exhibit 1.01 to Form SD NeoPhotonics Corporation Conflict Minerals Report For the reporting period from January 1, 2017 to December 31, 2017 This Conflict Minerals Report (this “Report”) of NeoPhotonics Corporation (the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from Januar

NPTN / NeoPhotonics Corp, SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State or other jurisdiction of incorporation or organization) (Commission File No.) (I.R.S. Employer Identification No.) (Address of principal executive offices) 2911 Zanker Road

NPTN / NeoPhotonics Corp, 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0

Retention Agreement dated March 22, 2018 by and between NeoPhotonics Corporation and Yang Chiah Yee.

EX-10.3 3 exhibit103.htm EXHIBIT 10.3 NeoPhotonics Corporation Retention Agreement This Retention Agreement (this “Agreement”) is made and entered into by and between Yang Chiah Yee (the “Employee”) and NeoPhotonics Corporation, a Delaware corporation (the “Company”), effective as of March 22, 2018. RECITALS A.The Board of Directors of the Company (the “Board”) believes that it is in the best inte

Offer Letter dated March 19, 2018 by and between NeoPhotonics Corporation and Yang Chiah Yee.

2911 Zanker Road San Jose, CA 95134 USA March 19, 2018 Mr. Yang Chiah Yee Dear Yang Chiah, On behalf of NeoPhotonics Corporation, I am pleased to extend this offer of employment on the terms outlined below. Should you accept this offer, you will serve in a full time capacity as Senior Vice President, Global Sales, reporting to Tim Jenks, CEO. Your salary will be $325,000 annually, less payroll ded

NeoPhotonics Reports First Quarter 2018 Financial Results

NeoPhotonics Reports First Quarter 2018 Financial Results • Revenue of $68.6 million for the quarter • High Speed Products increased to 86% of total revenue for the quarter SAN JOSE, Calif. - May 8, 2018 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telecom and data center applications, toda

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

NPTN / NeoPhotonics Corp, DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy State

NPTN / NeoPhotonics Corp, DEF 14A

Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 17, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employ

Current Report

8-K 1 a18-1100718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commi

NPTN / NeoPhotonics Corp, / QUENTEC ASSET MANAGEMENT LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

March 14, 2018 (File No. 333-223661)

S-8 1 a18-82621s8.htm S-8 As filed with the Securities and Exchange Commission on March 14, 2018 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 94-3253730 (State or other jurisdiction of incorporatio

NPTN / NeoPhotonics Corp, 10-K (Annual Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to 001-35061 (Commission File No.

Loan Agreement by and between NeoPhotonics Semiconductor GK and The Bank of Toyko-Mitsubishi UFJ, Ltd. and The Yamanashi Chou Bank, Ltd. dated January 29, 2018

EX-10.73 3 exhibit10731.htm EXHIBIT 10.73 Term Loan Agreement (850,000,000 yen) Borrower: NeoPhotonics Semiconductors GK Arranger and Agent: The Bank of Tokyo-Mitsubishi UFJ, Ltd Lender: The Bank of Tokyo-Mitsubishi UFJ, Ltd. The Yamanashi Chuo Bank, Ltd. [ ] January 24, 2018 Table of contents Article 1 (Definitions) Article 2 (Rights and obligations of the Lender) Article 3 (Use of Funds) Article

Separation Agreement, by and between NeoPhotonics Corporation and Benjamin Sitler dated December 20, 2017.

EX-10.72 2 exhibit1072.htm EXHIBIT 10.72 Exhibit 10.72 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS 1.Factual Background. Benjamin L. Sitler ("Employee") was employed by NeoPhotonics Corporation (the "Company") beginning on or about July 21, 2003, and is currently employed by the Company as its SVP, Global Sales Officer. 2.Separation Date, Reimbursement and Payments. Employee's last day of e

List of subsidiaries of NeoPhotonics Corporation.

EX-21.1 5 nptn123117exhibit211.htm EXHIBIT 21.1 Exhibit 21.1 LIST OF SUBSIDIARIES OF NEOPHOTONICS CORPORATION SUBSIDIARY JURISDICTION NeoPhotonics Corporation Limited Hong Kong NeoPhotonics (China) Co., Ltd. People’s Republic of China NeoPhotonics Dongguan Co., Ltd. People’s Republic of China Novel Centennial Limited British Virgin Islands NeoPhotonics Semiconductor, Godo Kaisha Japan NeoPhotonics

Amendment to Retention Agreement by and between NeoPhotonics Corporation and Elizabeth Eby dated November 6, 2017.

EX-10.74 4 exhibit1074.htm EXHIBIT 10.74 Exhibit 10.74 NeoPhotonics Corporation Amendment to Retention Agreement This Amendment to Retention Agreement (this “Amendment”) is made and entered into by and between Elizabeth Eby (the “Employee”) and NeoPhotonics Corporation, a Delaware corporation (the “Company”), effective as of November 6, 2017. RECITALS A.The Company and the Employee previously ente

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

NeoPhotonics Reports Fourth Quarter and Fiscal Year 2017 Financial Results

NeoPhotonics Reports Fourth Quarter and Fiscal Year 2017 Financial Results • Revenue of $76.

NPTN / NeoPhotonics Corp, / QUENTEC ASSET MANAGEMENT LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

NPTN / NeoPhotonics Corp, / OAK MANAGEMENT CORP - NEOPHOTONICS CORPORATION Passive Investment

SC 13G/A 1 p18-0423sc13ga.htm NEOPHOTONICS CORPORATION SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* NeoPhotonics Corporation (Name of Issuer) Common Stock, $0.0025 par value per share (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of This Statemen

NPTN / NeoPhotonics Corp, / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* NEOPHOTONICS CORP (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched

NPTN / NeoPhotonics Corp, / Wellington Management Group LLP - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* NEOPHOTONICS CORP (Name of Issuer) Common Stock (Title of Class of Securities) 64051T100 (CUSIP Number) December 29, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2018 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Empl

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emp

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emp

Comprehensive Credit Granting Contract, dated December 14, 2017, by and between NeoPhotonics (China) Co., Ltd. and China CITIC Bank.

EX-10.1 2 a17-285851ex10d1.htm EX-10.1 Exhibit 10.1 Contract No.: 2017 SY H ZZ No. 0019 Comprehensive Credit Granting Contract (Version 1.0, 2014) CHINA CITIC BANK Instruction I. This contract shall be filled out with black blue or black signature pen or fountain pen. II. This contract shall be filled out completely, and written clearly and neatly. III. Currencies shall be filled out in Chinese ra

Offer Letter dated July 13, 2017 by and between NeoPhotonics Corporation and Elizabeth Eby.

EXHIBIT 10.1 2911 Zanker Road San Jose, CA 95134 USA July 13, 2017 Ms. Elizabeth Eby Mountain View, CA Dear Beth, On behalf of NeoPhotonics Corporation, I am pleased to extend this offer of employment on the terms outlined below. Should you accept this offer, you will serve in a full time capacity as Senior Vice President, Chief Financial Officer, reporting to Tim Jenks, CEO. Your salary will be $

Retention Agreement dated August 14, 2017 by and between NeoPhotonics Corporation and Elizabeth Eby.

EXHIBIT 10.2 NeoPhotonics Corporation Retention Agreement This Retention Agreement (this “Agreement”) is made and entered into by and between Elizabeth Eby (the “Employee”) and NeoPhotonics Corporation, a Delaware corporation (the “Company”), effective as of August 14, 2017. RECITALS A.The Board of Directors of the Company (the “Board”) believes that it is in the best interests of the Company and

NPTN / NeoPhotonics Corp, 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe

NPTN / NeoPhotonics Corp, 8-K (Current Report)

Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.)

NeoPhotonics Reports Third Quarter 2017 Financial Results

Exhibit NeoPhotonics Reports Third Quarter 2017 Financial Results ? Quarterly Revenue of $71.

NeoPhotonics Announces Restructuring Actions and Preliminary Financial Results for the Third Quarter

Exhibit 99.1 For Immediate Release NeoPhotonics Announces Restructuring Actions and Preliminary Financial Results for the Third Quarter SAN JOSE, Calif. ? October 5, 2017 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telecom and datacenter applications, today announced that as a part of its

Costs Associated with Exit or Disposal Activities, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Em

NPTN / NeoPhotonics Corp, ESP

John H. Sellers +1 650 843 5070 [email protected] September 20, 2017 U.S. Securities and Exchange Commission Division of Corporation Finance Washington, DC 20549 Attn: Larry Spirgel, Assistant Director Re: NeoPhotonics Corporation Form 10-K for Fiscal Year Ended December 31, 2016 Filed March 16, 2017 Form 10-Q for Fiscal Quarter Ended June 30, 2017 Filed August 9, 2017 File No. 001-35061 Ladies

NPTN / NeoPhotonics Corp, ESP

John H. Sellers +1 650 843 5070 [email protected] September 15, 2017 U.S. Securities and Exchange Commission Division of Corporation Finance Washington, DC 20549 Attn: Larry Spirgel, Assistant Director Re: NeoPhotonics Corporation Form 10-K for Fiscal Year Ended December 31, 2016 Filed March 16, 2017 Form 10-Q for Fiscal Quarter Ended June 30, 2017 Filed August 9, 2017 File No. 001-35061 Ladies

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

8-K 1 a17-2156918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Co

Credit Agreement, dated as of September 8, 2017, among NeoPhotonics Corporation, the lenders from time to time party thereto and Wells Fargo Bank, National Association, as administrative agent.

Exhibit 10.1 CREDIT AGREEMENT by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, as Agent, THE LENDERS THAT ARE PARTIES HERETO as the Lenders, and NEOPHOTONICS CORPORATION as Borrower Dated as of September 8, 2017 TABLE OF CONTENTS Page 1. DEFINITIONS AND CONSTRUCTION 1 1.1 Definitions 1 1.2 Accounting Terms 41 1.3 Code 42 1.4 Construction 42 1.5 Time References 42 1.6 Schedules and Exhibits 43

Thirteenth Amendment dated August 23, 2017 to Revolving Credit and Term Loan Agreement, dated March 21, 2013, by and between NeoPhotonics Corporation and Comerica Bank, as Agent and sole Lender.

Exhibit 10.1 THIRTEENTH AMENDMENT TO CREDIT AGREEMENT This Thirteenth Amendment to Credit Agreement (this ?Amendment?) is entered into as of August 23, 2017, by and among NeoPhotonics Corporation, a Delaware corporation (?Borrower?), Lenders (as defined below) and Comerica Bank, as administrative agent for Lenders (in such capacity, ?Agent?). RECITALS A. Borrower previously entered into that certa

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Emplo

Current Report

8-K 1 a17-2025418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Comm

Separation Agreement, by and between NeoPhotonics Corporation and Clyde R. Wallin, dated April 4. 2017.

EX-10.5 4 nptn-20170630ex1053e97d8.htm EX-10.5 EXHIBIT 10.5 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS 1. Factual Background. Clyde Raymond Wallin (“Employee”) was employed by NeoPhotonics Corporation (the “Company”) beginning on or about December 23, 2013, and is currently employed by the Company as its Chief Financial Officer. 2. Separation Date, Reimbursement and Payments. Employee’s la

2017 Performance Bonus Program.

EX-10.6 5 nptn-20170630ex106859e1f.htm EX-10.6 EXHIBIT 10.6 2017 Target Bonus Program On May 2, 2017, the Compensation Committee (the “Compensation Committee”) of the Board of Directors of NeoPhotonics Corporation (the “Company”) approved a 2017 performance bonus program (the “2017 Bonus Program”) for the Company’s executive officers and other employees. The Compensation Committee structured targe

Eleventh Amendment dated April 28, 2017 to Revolving Credit and Term Loan Agreement, dated March 21, 2013, by and between NeoPhotonics Corporation and Comerica Bank, as Agent and sole Lender.

EX-10.1 2 nptn-20170630ex10153a8e8.htm EX-10.1 EXHIBIT 10.1 ELEVENTH AMENDMENT TO CREDIT AGREEMENT This Eleventh Amendment to Credit Agreement (this “Amendment”) is entered into as of April 28, 2017, by and among NeoPhotonics Corporation, a Delaware corporation (“Borrower”), Lenders (as defined below) and Comerica Bank, as administrative agent for Lenders (in such capacity, “Agent”). RECITALS A.Bo

NPTN / NeoPhotonics Corp, 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-

Consulting Agreement, by and between NeoPhotonics Corporation and Kainos Consulting, LLC, dated May 15. 2017.

EX-10.4 3 nptn-20170630ex10410390e.htm EX-10.4 EXHIBIT 10.4 NeoPhotonics Corporation Consulting Agreement This Consulting Agreement (the “Agreement”) is entered into by and between NeoPhotonics Corporation, (the “Company”), a Delaware corporation and Kainos Consulting, LLC (“Consultant”). 1.Consulting Relationship. During the term of this Agreement, Consultant will provide consulting services (the

Current Report

8-K 1 a17-1894618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commis

NeoPhotonics Corp 8-K/A (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File

NeoPhotonics Reports Second Quarter 2017 Financial Results

nptnEx991 Exhibit 99.1 NeoPhotonics Reports Second Quarter 2017 Financial Results ? Revenue of $73.2 million ? High Speed Products Represented 81% of Total Revenue ? Sequential growth over the First Quarter 2017 SAN JOSE, Calif. ? August 3, 2017 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in

Results of Operations and Financial Condition

nptnCurrentFolio8K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Twelfth Amendment dated June 29, 2017 to Revolving Credit and Term Loan Agreement, dated March 21, 2013, by and between NeoPhotonics Corporation and Comerica Bank, as Agent and sole Lender.

EX-10.1 2 a17-169371ex10d1.htm EX-10.1 Exhibit 10.1 TWELFTH AMENDMENT TO CREDIT AGREEMENT This Twelfth Amendment to Credit Agreement (this “Amendment”) is entered into as of June 29, 2017, by and among NeoPhotonics Corporation, a Delaware corporation (“Borrower”), Lenders (as defined below) and Comerica Bank, as administrative agent for Lenders (in such capacity, “Agent”). RECITALS A. Borrower pre

NeoPhotonics Corp 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

Lease Agreement, dated June 13, 2017, by and between NeoPhotonics Corporation and The Realty Associates Fund X, L.P.

Exhibit 10.1 STANDARD INDUSTRIAL LEASE (Multiple Tenant ? Tenant Pays its Percentage Share of Operating Expenses, Real Property Taxes and Insurance Costs ? NO Base Year) 1. BASIC LEASE PROVISIONS. 1.1 DATE FOR REFERENCE PURPOSES: June 13, 2017 1.2 LANDLORD: The Realty Associates Fund X, L.P., a Delaware limited partnership 1.3 TENANT: NeoPhotonics Corporation, a Delaware corporation 1.4 PREMISES A

NeoPhotonics Corp 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employe

NeoPhotonics Corp 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

NPTN / NeoPhotonics Corp, / RUSNANO - SC 13D/A Activist Investment

SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* NeoPhotonics Corporation (Name of Issuer) Common Stock, par value $0.0025 per share (Title of Class of Securities) 64051T100 (CUSIP Number) Joint Stock Company “RUSNANO” Prospect 60-letiya Oktyabrya 10a 117036 Moscow Russian Federation +7 (495) 988-5388 With

NeoPhotonics Corp SD

SD 1 a17-144211sd.htm SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT NeoPhotonics Corporation (Exact name of registrant as specified in its charter) Delaware 001-35061 94-3253730 (State or other jurisdiction of incorporation or organization) (Commission File No.) (I.R.S. Employer Identification No.) (Address of principal executive o

NeoPhotonics Corporation Conflict Minerals Report For the reporting period from January 1, 2016 to December 31, 2016

Exhibit 1.01 NeoPhotonics Corporation Conflict Minerals Report For the reporting period from January 1, 2016 to December 31, 2016 This Conflict Minerals Report (this ?Report?) of NeoPhotonics Corporation (the ?Company?) has been prepared pursuant to Rule 13p-1 and Form SD (the ?Rule?) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2016 t

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Commission File No.) (IRS Employer

NeoPhotonics Corp 10-Q/A (Quarterly Report)

nptnCurrentFolio 10Q-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

nptnCurrentFolio 10Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Term Loan Agreement, dated March 29, 2017, by and between NeoPhotonics Semiconductor GK and The Bank of Tokyo-Mitsubishi.

Exhibit 10.2 [Translation ? For Reference Purposes Only] Stamp Term Loan Agreement with Loan Availability Period (690,000,000 JPY) Borrower NeoPhotonics Semiconductor GK Lender The Bank of Tokyo-Mitsubishi UFJ, Ltd. March 29, 2017 Table of Contents* Article 1 (Definitions) 2 Article 2 (Lender?s Rights and Obligations) 4 Article 3 (Use of Proceeds) 5 Article 4 (Application for Individual Loans) 5 A

Current Report

nptnCurrentFolio8K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Results of Operations and Financial Condition

8-K 1 nptn-20170505x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (Comm

NeoPhotonics Reports First Quarter 2017 Financial Results

EX-99.1 2 nptn-20170505ex9910aa26a.htm EX-99.1 Exhibit 99.1 NeoPhotonics Reports First Quarter 2017 Financial Results · Revenue of $71.7 million · Completed Sale of Low Speed Product Transceiver Product Assets SAN JOSE, Calif. — May 5, 2017 - NeoPhotonics Corporation (NYSE: NPTN), a leading designer and manufacturer of optoelectronic solutions for the highest speed communications networks in telec

Current Report

8-K 1 nptn-20170428x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2017 NEOPHOTONICS CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 001-35061 94-3253730 (State of incorporation) (C

NeoPhotonics Corp DEFA14A

nptnCurrentFolioDEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

NeoPhotonics Corp DEF 14A

nptnCurrentFolioDEF14A Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

April 7, 2017 (File No. 333-217211)

nptnS8 As filed with the Securities and Exchange Commission on April 7, 2017 Registration No.