Timothy Storrs Jenks - 30 Jul 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: 30 Jul 2021
Net transactions value: -$120,232
Form type: 4
Filing time: 03 Aug 2021, 17:46:51 UTC
Previous filing: 22 Jul 2021
Next filing: 08 Nov 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	+6,667	+1.2%	$0.000000	565,780	30 Jul 2021	Direct
transaction	NPTN	Common Stock	Options Exercise	$0	+25,000	+4.4%	$0.000000	590,780	30 Jul 2021	Direct
transaction	NPTN	Common Stock	Disposed to Issuer	$120,232	-12,395	-2.1%	$9.70	578,385	30 Jul 2021	Direct	F1
holding	NPTN	Common Stock						3,076	30 Jul 2021	As Trustee
holding	NPTN	Common Stock						3,200	30 Jul 2021	Trustee-Family Trust
holding	NPTN	Common Stock						3,798	30 Jul 2021	by Trust	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	-6,667	-50%	$0.000000	6,666	30 Jul 2021	Common Stock	6,667	$0.000000	Direct	F3, F4
transaction	NPTN	Restricted Stock Units (right to acquire)	Options Exercise	$0	-25,000	-33%	$0.000000	50,000	30 Jul 2021	Common Stock	25,000	$0.000000	Direct	F3, F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	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.
F2	Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
F3	Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F4	The shares vest in three equal annual installments, 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.
F5	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.