Yanbing Li - 09 Dec 2021 Form 4 Insider Report for NEOPHOTONICS CORP

Role
Director
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Yanbing Li
Issuer symbol
N/A
Transactions as of
09 Dec 2021
Net transactions value
-$398,157
Form type
4
Filing time
13 Dec 2021, 15:45:37 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 $38,849 +3,820 +24% $10.17 19,803 09 Dec 2021 Direct
transaction NPTN Common Stock Sale $58,541 -3,820 -19% $15.32 15,983 09 Dec 2021 Direct
transaction NPTN Common Stock Options Exercise $76,698 +8,960 +56% $8.56 24,943 09 Dec 2021 Direct
transaction NPTN Common Stock Sale $137,310 -8,960 -36% $15.32 15,983 09 Dec 2021 Direct
transaction NPTN Common Stock Options Exercise $81,566 +18,665 +117% $4.37 34,648 09 Dec 2021 Direct
transaction NPTN Common Stock Sale $286,037 -18,665 -54% $15.32 15,983 09 Dec 2021 Direct
transaction NPTN Common Stock Sale $113,381 -7,397 -46% $15.33 8,586 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 Non-Qualified Stock Option (right to buy) Options Exercise $0 -18,665 -100% $0.000000* 0 09 Dec 2021 Common Stock 18,665 $4.37 Direct F1
transaction NPTN Non-Qualified Stock Option (right to buy) Options Exercise $0 -8,960 -100% $0.000000* 0 09 Dec 2021 Common Stock 8,960 $8.56 Direct F1
transaction NPTN Non-Qualified Stock Option (right to buy) Options Exercise $0 -3,820 -50% $0.000000 3,821 09 Dec 2021 Common Stock 3,820 $10.17 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.