Specimen Common Stock Certificate



 Exhibit 4.1 

 

 

 NUMBER 

NEOPHOTONICS 

ABNOTE NORTH AMERICA 

COMMON STOCK 

SEE REVERSE FOR CERTAIN DEFINITIONS 

CUSIP P64051T 10 0 

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE 

THIS CERTIFIES THAT 

IS THE RECORD HOLDER OF 

FULLY PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK, $.0001 PAR VALUE PER SHARE, OF 

NEOPHOTONICS CORPORATION 

transferable on the books of the Corporation by the holder hereof in person or by duly authorized attorney upon the
surrender of this certificate properly endorsed. 
 This certificate is not valid until countersigned by the
Transfer Agent and registered by the Registrar. WITNESS the facsimile seal of the Corporation and the facsimile signatures of its duly authorized officers. 

Dated: 

CHIEF EXECUTIVE OFFICER 

SECRETARY 

AUTHORIZED OFFICER 

COUNTERSIGNED AND REGISTERED: 

AMERICAN STOCK TRANSFER & (New York, NY) TRUST COMPANY, LLC 

TRANSFER AGENT AND REGISTRAR 

BY 

NeoPhotonics Corporation 

CORPORATE 

SEAL 

OCT. 31, 

1996 

DELAWARE 

NPC 








 

 

 NEOPHOTONICS CORPORATION 

The Corporation will furnish without charge to each stockholder who so requests the powers, designations, preferences and
relative participating, optional, or other special rights of each class of stock or series thereof and the qualifications, limitations or restrictions of such preferences and/or rights. Such requests shall be made to the Corporations’s
Secretary at the principal office of the Corporation. 
 The following abbreviations, when used in the
inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations: 

TEN COM – as tenants in common UNIF GIFT MIN ACT–.................. (Cust) Custodian.................. (Minor)
TEN ENT – as tenants by the entireties JT TEN – as joint tenants with right under Uniform Gifts to Minors of survivorship and not as tenants in common Act............................. (State) 

UNIF TRF MIN ACT–..................... Custodian (until age............) 

(Cust) 

....................under Uniform Transfer to Minors 

(Minor) 

Act. ............................ 

(State) 

Additional abbreviations may also be used though not in the above list. 

FOR VALUE RECEIVED, hereby sell, assign and transfer(s) unto 

PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE 

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING ZIP CODE OF ASSIGNEE) 

Shares 

of the common stock represented by the within Certificate, and do(es) hereby irrevocably 

constitute and appoint 

Attorney to transfer the said stock on the books of the within named Corporation with full power of substitution in the
premises. 
 Dated X 

X 

NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE, IN
EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT, OR ANY CHANGE WHATEVER. 
 SIGNATURE(S) GUARANTEED:

 BY 

THE SIGNATURE(S) MUST BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN
ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM), PURSUANT TO S.E.C. RULE 17Ad-15. 

KEEP THIS CERTIFICATE IN A SAFE PLACE. IF IT IS LOST, STOLEN, OR DESTROYED THE CORPORATION WILL REQUIRE A BOND OF
INDEMNITY AS A CONDITION TO THE ISSUANCE OF A REPLACEMENT CERTIFICATE.