Bandel L. Carano - May 27, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
Director
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Bandel L. Carano
Stock symbol
NPTN
Transactions as of
May 27, 2021
Transactions value $
-$101,994
Form type
4
Date filed
6/1/2021, 04:38 PM
Next filing
Jun 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $50K +7.41K +68.24% $6.75 18.3K May 27, 2021 Direct
transaction NPTN Common Stock Sale -$76K -7.41K -40.56% $10.26 10.9K May 27, 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 -$76K -7.41K -100% $10.26 0 May 27, 2021 Common Stock 7.41K $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.