Timothy Storrs Jenks - 04 Jun 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role: CEO, Director
Signature: By: /s/ Barbara Rogan, Attorney-in-fact For: Timothy S. Jenks
Issuer symbol: N/A
Transactions as of: 04 Jun 2021
Net transactions value: -$190,092
Form type: 4
Filing time: 08 Jun 2021, 17:23:15 UTC
Next filing: 02 Jul 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	NPTN	Common Stock	Options Exercise	$0	+36,000	+6.9%	$0.000000	560,577	04 Jun 2021	Direct	F1
transaction	NPTN	Common Stock	Disposed to Issuer	$190,092	-17,849	-3.2%	$10.65	542,728	04 Jun 2021	Direct	F2
holding	NPTN	Common Stock						3,076	04 Jun 2021	As Trustee
holding	NPTN	Common Stock						3,200	04 Jun 2021	Trustee-Family Trust
holding	NPTN	Common Stock						3,798	04 Jun 2021	by Trust	F3

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	-36,000	-100%	$0.000000^*	0	04 Jun 2021	Common Stock	36,000	$0.000000	Direct	F4, F5

* 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	Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
F4	Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F5	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.