Elizabeth Lynne Eby - 06 May 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role: SVP, CFO, SVP, CFO
Signature: By: /s/ Barbara Rogan, Attorney-in-Fact For: Elizabeth Lynne Eby
Issuer symbol: N/A
Transactions as of: 06 May 2021
Net transactions value: -$134,956
Form type: 4
Filing time: 10 May 2021, 18:04:18 UTC
Next filing: 08 Jun 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	NPTN	Common Stock	Options Exercise	$679,188	+115,312	+34%	$5.89	450,482	06 May 2021	Direct
transaction	NPTN	Common Stock	Sale	$814,144	-90,558	-20%	$8.99	359,924	06 May 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	-115,312	-83%	$0.000000	23,063	06 May 2021	Common Stock	115,312	$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.