Yuen Wupen - 05 May 2022 Form 4 Insider Report for NEOPHOTONICS CORP

Role
VICE PRESIDENT GLOBAL PRODUCT
Signature
By: /s/ Barbara Rogan For: Wupen Yuen
Issuer symbol
N/A
Transactions as of
05 May 2022
Net transactions value
-$21,554
Form type
4
Filing time
09 May 2022, 16:07:01 UTC
Previous filing
03 Jan 2022
Next filing
06 Jul 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 $35,000 +10,000 +5.8% $3.50 183,897 05 May 2022 Direct
transaction NPTN Common Stock Sale $56,554 -3,750 -2% $15.08 180,147 05 May 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 -10,000 -100% $0.000000* 0 05 May 2022 Common Stock 10,000 $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.