Rajiv Ramaswami - 02 Mar 2022 Form 4 Insider Report for NEOPHOTONICS CORP

Role: Director
Signature: By: /s/ Barbara Rogan For: Rajiv Ramaswami
Issuer symbol: N/A
Transactions as of: 02 Mar 2022
Net transactions value: +$19,800
Form type: 4
Filing time: 04 Mar 2022, 13:32:34 UTC
Previous filing: 22 Dec 2021
Next filing: 17 Mar 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	$19,800	+4,400	+11%	$4.50	44,838	02 Mar 2022	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	-4,400	-100%	$0.000000^*	0	02 Mar 2022	Common Stock	4,400	$4.50	Direct	F2

* 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	These options were granted to Dr. Ramaswami during his tenure on the Company's technical advisory board and prior to his appointment to the Board of Directors.