Bandel L. Carano - Jun 4, 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
Jun 4, 2021
Transactions value $
$0
Form type
4
Date filed
6/8/2021, 04:48 PM
Previous filing
Jun 3, 2021
Next filing
Jun 14, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $0 +5.23K +48.17% $0.00 16.1K Jun 4, 2021 Direct

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 Restricted Stock Units (right to acquire) Options Exercise $0 -5.23K -100% $0.00* 0 Jun 4, 2021 Common Stock 5.23K $0.00 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F2 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.