Rajiv Ramaswami - Mar 2, 2022 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
Director
Signature
By: /s/ Barbara Rogan For: Rajiv Ramaswami
Stock symbol
NPTN
Transactions as of
Mar 2, 2022
Transactions value $
$19,800
Form type
4
Date filed
3/4/2022, 01:32 PM
Previous filing
Dec 22, 2021
Next filing
Mar 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $19.8K +4.4K +10.88% $4.50 44.8K Mar 2, 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 -4.4K -100% $0.00* 0 Mar 2, 2022 Common Stock 4.4K $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.