Chiyue Cheung - 09 Dec 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role: Chief Operating Officer
Signature: By: /s/ Barbara Rogan, Attorney-in-fact For: Chi Yue Raymond Cheung
Issuer symbol: N/A
Transactions as of: 09 Dec 2021
Net transactions value: -$765,750
Form type: 4
Filing time: 10 Dec 2021, 17:19:03 UTC
Previous filing: 08 Nov 2021
Next filing: 06 Jul 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	$383,250	+75,000		$5.11	75,000	09 Dec 2021	Direct
transaction	NPTN	Common Stock	Disposed to Issuer	$1,149,000	-75,000	-100%	$15.32	0	09 Dec 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	Stock Appreciation Right	Options Exercise	$0	-75,000	-100%	$0.000000^*	0	09 Dec 2021	Common Stock	75,000	$5.11	Direct

* An asterisk sign (*) next to the price indicates that the price is likely invalid.