Elizabeth Lynne Eby - 30 Jul 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role
SVP, CFO, SVP, CFO
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Elizabeth Lynne Eby
Issuer symbol
N/A
Transactions as of
30 Jul 2021
Net transactions value
-$60,926
Form type
4
Filing time
03 Aug 2021, 18:08:03 UTC
Previous filing
22 Jul 2021
Next filing
17 Aug 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 +2,667 +0.7% $0.000000 381,865 30 Jul 2021 Direct
transaction NPTN Common Stock Disposed to Issuer $12,833 -1,323 -0.35% $9.70 380,542 30 Jul 2021 Direct F1
transaction NPTN Common Stock Options Exercise $0 +10,000 +2.6% $0.000000 390,542 30 Jul 2021 Direct
transaction NPTN Common Stock Disposed to Issuer $48,093 -4,958 -1.3% $9.70 385,584 30 Jul 2021 Direct F1

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 -2,667 -50% $0.000000 2,666 30 Jul 2021 Common Stock 2,667 $0.000000 Direct F2, F3
transaction NPTN Restricted Stock Units (right to acquire) Options Exercise $0 -10,000 -33% $0.000000 20,000 30 Jul 2021 Common Stock 10,000 $0.000000 Direct F2, F4
* 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 Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F3 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.
F4 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.