Yanbing Li - 01 Jun 2022 Form 4 Insider Report for NEOPHOTONICS CORP

Role: Director
Signature: By: /s/ Barbara Rogan For: Yanbing Li
Issuer symbol: N/A
Transactions as of: 01 Jun 2022
Net transactions value: $0
Form type: 4
Filing time: 03 Jun 2022, 18:11:42 UTC
Previous filing: 13 Dec 2021
Next filing: 05 Aug 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	$0	+4,621	+54%	$0.000000	13,207	01 Jun 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	-4,621	-100%	$0.000000^*	0	01 Jun 2022	Common Stock	4,621	$0.000000	Direct	F1, F2
transaction	NPTN	Restricted Stock Units (right to acquire)	Award	$0	+5,787		$0.000000	5,787	02 Jun 2022	Common Stock	5,787	$0.000000	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.