Michael J. Sophie - Nov 4, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
Director
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Michael Sophie
Stock symbol
NPTN
Transactions as of
Nov 4, 2021
Transactions value $
-$295,393
Form type
4
Date filed
11/8/2021, 05:30 PM
Previous filing
Jun 8, 2021
Next filing
Jun 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $44.8K +5.23K +21.95% $8.56 29.1K Nov 4, 2021 Direct
transaction NPTN Common Stock Sale -$78.6K -5.23K -18% $15.04 23.8K Nov 4, 2021 Direct F1
transaction NPTN Common Stock Sale -$183K -12.2K -51.05% $15.04 11.7K Nov 4, 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 Non-Qualified Stock Option (right to buy) Options Exercise -$78.6K -5.23K -58.35% $15.04 3.73K Nov 4, 2021 Common Stock 5.23K $8.56 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.