Elizabeth Eby - May 6, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
SVP, CFO, SVP, CFO
Signature
By: /s/ Barbara Rogan, Attorney-in-Fact For: Elizabeth Lynne Eby
Stock symbol
NPTN
Transactions as of
May 6, 2021
Transactions value $
-$134,956
Form type
4
Date filed
5/10/2021, 06:04 PM
Next filing
Jun 8, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $679K +115K +34.4% $5.89 450K May 6, 2021 Direct
transaction NPTN Common Stock Sale -$814K -90.6K -20.1% $8.99 360K May 6, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NPTN Non-Qualified Stock Option (right to buy) Options Exercise $0 -115K -83.33% $0.00 23.1K May 6, 2021 Common Stock 115K $5.89 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the number of shares sold by the Reporting Person to cover option cost and tax withholding obligations in connection with an exercise-and-sell-to-cover.
F2 Twenty-five percent (25%) of the underlying shares shall vest on the one year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48th) of the shares shall vest each month thereafter, subject to the recipient's continued service through such date.