Yanbing Li - 01 Jun 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role
Director
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Yanbing Li
Issuer symbol
N/A
Transactions as of
01 Jun 2021
Net transactions value
$0
Form type
4
Filing time
03 Jun 2021, 18:26:37 UTC
Next filing
08 Jun 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 +7,641 $0.000000 7,641 01 Jun 2021 Common Stock 7,641 $10.17 Direct F1
transaction NPTN Restricted Stock Units (right to acquire) Award $0 +4,621 $0.000000 4,621 01 Jun 2021 Common Stock 4,621 $0.000000 Direct F2, F3
* 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.