Yanbing Li - 04 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
04 Jun 2021
Net transactions value
$0
Form type
4
Filing time
08 Jun 2021, 17:44:38 UTC
Previous filing
03 Jun 2021
Next filing
13 Dec 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 +5,228 +49% $0.000000 15,983 04 Jun 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 -5,228 -100% $0.000000* 0 04 Jun 2021 Common Stock 5,228 $0.000000 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.