Elizabeth Lynne Eby - 16 Aug 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role
SVP, CFO
Signature
By: /s/ Barbara Rogan, Attorney-in-Fact For: Elizabeth Lynne Eby
Issuer symbol
N/A
Transactions as of
16 Aug 2021
Net transactions value
$0
Form type
4
Filing time
17 Aug 2021, 21:30:40 UTC
Previous filing
03 Aug 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 +30,750 +8% $0.000000 416,334 16 Aug 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 -30,750 -100% $0.000000* 0 16 Aug 2021 Common Stock 30,750 $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 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.