Timothy Storrs Jenks - 15 Nov 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
15 Nov 2021
Net transactions value
+$569,097
Form type
4
Filing time
17 Nov 2021, 15:51:43 UTC
Previous filing
08 Nov 2021
Next filing
29 Dec 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 $100,012 +12,393 +2.8% $8.07 461,517 15 Nov 2021 Direct F1
transaction NPTN Common Stock Options Exercise $99,988 +8,149 +1.8% $12.27 469,666 15 Nov 2021 Direct F1
transaction NPTN Common Stock Options Exercise $199,989 +26,349 +5.6% $7.59 496,015 15 Nov 2021 Direct F1
transaction NPTN Common Stock Options Exercise $169,108 +51,245 +10% $3.30 547,260 15 Nov 2021 Direct F1
holding NPTN Common Stock 3,076 15 Nov 2021 As Trustee
holding NPTN Common Stock 3,200 15 Nov 2021 Trustee-Family Trust
holding NPTN Common Stock 3,798 15 Nov 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 Incentive Stock Option (right to buy) Options Exercise $0 -51,245 -100% $0.000000* 0 15 Nov 2021 Common Stock 51,245 $3.30 Direct F3
transaction NPTN Incentive Stock Option (right to buy) Options Exercise $0 -26,349 -100% $0.000000* 0 15 Nov 2021 Common Stock 26,349 $7.59 Direct F4
transaction NPTN Incentive Stock Option (right to buy) Options Exercise $0 -12,393 -100% $0.000000* 0 15 Nov 2021 Common Stock 12,393 $8.07 Direct F5
transaction NPTN Incentive Stock Option (right to buy) Options Exercise $0 -8,149 -100% $0.000000* 0 15 Nov 2021 Common Stock 8,149 $12.27 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a cash exercise.
F2 Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
F3 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and the remaining will vest quarterly over the next year, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
F4 50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
F5 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.
F6 30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.