Yanbing Li - Dec 9, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
Director
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Yanbing Li
Stock symbol
NPTN
Transactions as of
Dec 9, 2021
Transactions value $
-$398,157
Form type
4
Date filed
12/13/2021, 03:45 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 $38.8K +3.82K +23.9% $10.17 19.8K Dec 9, 2021 Direct
transaction NPTN Common Stock Sale -$58.5K -3.82K -19.29% $15.32 16K Dec 9, 2021 Direct
transaction NPTN Common Stock Options Exercise $76.7K +8.96K +56.06% $8.56 24.9K Dec 9, 2021 Direct
transaction NPTN Common Stock Sale -$137K -8.96K -35.92% $15.32 16K Dec 9, 2021 Direct
transaction NPTN Common Stock Options Exercise $81.6K +18.7K +116.78% $4.37 34.6K Dec 9, 2021 Direct
transaction NPTN Common Stock Sale -$286K -18.7K -53.87% $15.32 16K Dec 9, 2021 Direct
transaction NPTN Common Stock Sale -$113K -7.4K -46.28% $15.33 8.59K Dec 9, 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 -18.7K -100% $0.00* 0 Dec 9, 2021 Common Stock 18.7K $4.37 Direct F1
transaction NPTN Non-Qualified Stock Option (right to buy) Options Exercise $0 -8.96K -100% $0.00* 0 Dec 9, 2021 Common Stock 8.96K $8.56 Direct F1
transaction NPTN Non-Qualified Stock Option (right to buy) Options Exercise $0 -3.82K -49.99% $0.00 3.82K Dec 9, 2021 Common Stock 3.82K $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.