Chiyue cheung - Jul 20, 2022 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
Chief Operating Officer
Signature
By: /s/ Barbara Rogan For: Chi Yue Raymond Cheung
Stock symbol
NPTN
Transactions as of
Jul 20, 2022
Transactions value $
-$211,917
Form type
4
Date filed
7/22/2022, 05:44 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 Options Exercise $0 +13.5K $0.00 13.5K Jul 20, 2022 Direct
transaction NPTN Common Stock Disposed to Issuer -$212K -13.5K -100% $15.73 0 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 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 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.