Yuen Wupen - Jun 4, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role: VICE PRESIDENT GLOBAL PRODUCT
Signature: By: /s/ Barbara Rogan, Attorney-in-fact For: Wupen Yuen
Stock symbol: NPTN
Transactions as of: Jun 4, 2021
Transactions value $: -$53,037
Form type: 4
Date filed: 6/8/2021, 05:37 PM
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	+14.4K	+6.62%	$0.00	232K	Jun 4, 2021	Direct	F1
transaction	NPTN	Common Stock	Disposed to Issuer	-$53K	-4.98K	-2.15%	$10.65	227K	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	-14.4K	-100%	$0.00^*	0	Jun 4, 2021	Common Stock	14.4K	$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.