Yuen Wupen - Jul 20, 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
Jul 20, 2022
Transactions value $
-$73,209
Form type
4
Date filed
7/22/2022, 05:01 PM
Previous filing
Jul 7, 2022
Next filing
Aug 2, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Disposed to Issuer -$73.2K -4.66K -2.44% $15.71 186K Jul 20, 2022 Direct F1
transaction NPTN Common Stock Options Exercise $0 +13.5K +7.24% $0.00 200K Jul 20, 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 -13.5K -25% $0.00 40.4K Jul 20, 2022 Common Stock 13.5K $0.00 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person.
F2 Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
F3 25% of the underlying shares shall vest on each year anniversary of the Vesting Commencement Dates, subject to the recipient's continued service through such date.