Rajiv Ramaswami - Jun 1, 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
Jun 1, 2022
Transactions value $
$0
Form type
4
Date filed
6/3/2022, 06:10 PM
Previous filing
Mar 21, 2022
Next filing
Jun 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $0 +4.62K +10.31% $0.00 49.5K Jun 1, 2022 Direct

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 Restricted Stock Units (right to acquire) Options Exercise $0 -4.62K -100% $0.00* 0 Jun 1, 2022 Common Stock 4.62K $0.00 Direct F1, F2
transaction NPTN Restricted Stock Units (right to acquire) Award $0 +5.79K $0.00 5.79K Jun 2, 2022 Common Stock 5.79K $0.00 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F2 This RSU shall vest on the 12 month anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.