ITEM 2.02 RESULTS OF OPERATIONS AND FINANCIAL CONDITION On November 2, 2020, the Company issued a press release regarding the Company's financial results for the third quarter ended September 30, 2020. A copy of the Company's press release is furnished and attached as Exhibit 99.1 to this Form 8-K. The information contained in this Item 2.02, including Exhibit 99.1 hereto, shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or subject to the liabilities of that Section or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended (the "Securities Act"), and shall not be incorporated by reference in any registration statement or other document filed under the Securities Act or the Exchange Act, whether made before or after the date hereof, regardless of any general incorporation language in such filings, except as shall be expressly set forth by specific reference in such a filing.




ITEM 9.01     FINANCIAL STATEMENTS AND EXHIBITS.
(d)  Exhibits.
Exhibit Number    Description

99.1                Press Release issued by NeoPhotonics Corporation on November
                  2, 2020, regarding the Company's financial results for the
                  third quarter ended September 30, 2020.
104               Cover Page Interactive Data File (embedded within the Inline
                  XBRL document)

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                                   Signature

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Date: November 2, 2020 NEOPHOTONICS CORPORATION



                       By: /S/  ELIZABETH EBY
                           Elizabeth Eby
                           Senior Vice President, Finance and
                           Chief Financial Officer
                           (Principal Financial and
                           Accounting Officer)

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