Yuen Wupen - May 5, 2022 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
VICE PRESIDENT GLOBAL PRODUCT
Signature
By: /s/ Barbara Rogan For: Wupen Yuen
Stock symbol
NPTN
Transactions as of
May 5, 2022
Transactions value $
-$21,555
Form type
4
Date filed
5/9/2022, 04:07 PM
Previous filing
Jan 3, 2022
Next filing
Jul 6, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $35K +10K +5.75% $3.50 184K May 5, 2022 Direct
transaction NPTN Common Stock Sale -$56.6K -3.75K -2.04% $15.08 180K May 5, 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 Incentive Stock Option (right to buy) Options Exercise $0 -10K -100% $0.00* 0 May 5, 2022 Common Stock 10K $3.50 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Sale to cover the exercise price of the options.