Michael J. Sophie - 04 Nov 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role
Director
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Michael Sophie
Issuer symbol
N/A
Transactions as of
04 Nov 2021
Net transactions value
-$295,393
Form type
4
Filing time
08 Nov 2021, 17:30:25 UTC
Previous filing
08 Jun 2021
Next filing
03 Jun 2022
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 $44,752 +5,228 +22% $8.56 29,050 04 Nov 2021 Direct
transaction NPTN Common Stock Sale $78,629 -5,228 -18% $15.04 23,822 04 Nov 2021 Direct F1
transaction NPTN Common Stock Sale $182,886 -12,160 -51% $15.04 11,662 04 Nov 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 $78,629 -5,228 -58% $15.04 3,732 04 Nov 2021 Common Stock 5,228 $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.