Rajiv Ramaswami - Jun 1, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role: Director
Signature: By: /s/ Barbara Rogan, Attorney-in-fact For: Rajiv Ramaswami
Stock symbol: NPTN
Transactions as of: Jun 1, 2021
Transactions value $: $0
Form type: 4
Date filed: 6/3/2021, 06:19 PM
Next filing: Jun 8, 2021
SEC: View on sec.gov

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)	Award	$0	+7.64K		$0.00	7.64K	Jun 1, 2021	Common Stock	7.64K	$10.17	Direct	F1
transaction	NPTN	Restricted Stock Units (right to acquire)	Award	$0	+4.62K		$0.00	4.62K	Jun 1, 2021	Common Stock	4.62K	$0.00	Direct	F2, F3

Showing 1 to 2 of 2 entries

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.
F2	Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F3	This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.