Elizabeth Eby - Jul 20, 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
Jul 20, 2021
Transactions value $
$0
Form type
4
Date filed
7/22/2021, 05:29 PM
Previous filing
Jul 2, 2021
Next filing
Aug 3, 2021

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) Award $0 +53.9K $0.00 53.9K Jul 20, 2021 Common Stock 53.9K $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 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date.