Yuen Wupen - 29 Dec 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
VICE PRESIDENT GLOBAL PRODUCT
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Wupen Yuen
Issuer symbol
NPTN
Transactions as of
29 Dec 2021
Net transactions value
+$35,770
Form type
4
Filing time
03 Jan 2022, 15:23:58 UTC
Previous filing
08 Nov 2021
Next filing
09 May 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 $35,770 +7,000 +4.2% $5.11 173,897 29 Dec 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 $0 -7,000 -9.3% $0.000000 68,000 29 Dec 2021 Common Stock 7,000 $5.11 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a cash exercise.