Elizabeth Eby - Jun 4, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
SVP, CFO, SVP, CFO
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Elizabeth Lynne Eby
Stock symbol
NPTN
Transactions as of
Jun 4, 2021
Transactions value $
-$82,378
Form type
4
Date filed
6/8/2021, 04:55 PM
Previous filing
May 10, 2021
Next filing
Jul 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $0 +15.6K +4.3% $0.00 379K Jun 4, 2021 Direct F1
transaction NPTN Common Stock Disposed to Issuer -$82.4K -7.74K -2.04% $10.65 371K Jun 4, 2021 Direct F2

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 -15.6K -100% $0.00* 0 Jun 4, 2021 Common Stock 15.6K $0.00 Direct F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan.
F2 Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person.
F3 Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F4 These restricted stock units are scheduled to vest 30% on June 4, 2019, 30% on June 4, 2020 and 40% on June 4, 2021, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.