Bandel L. Carano - 27 May 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role
Director
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Bandel L. Carano
Issuer symbol
N/A
Transactions as of
27 May 2021
Net transactions value
-$101,994
Form type
4
Filing time
01 Jun 2021, 16:38:24 UTC
Next filing
03 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 $49,997 +7,407 +68% $6.75 18,261 27 May 2021 Direct
transaction NPTN Common Stock Sale $75,996 -7,407 -41% $10.26 10,854 27 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 $75,996 -7,407 -100% $10.26 0 27 May 2021 Common Stock 7,407 $6.75 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This stock option grant was set to expire on June 16, 2021.