Chiyue Cheung - 20 Jul 2022 Form 4 Insider Report for NEOPHOTONICS CORP

Role: Chief Operating Officer
Signature: By: /s/ Barbara Rogan For: Chi Yue Raymond Cheung
Issuer symbol: N/A
Transactions as of: 20 Jul 2022
Net transactions value: -$211,917
Form type: 4
Filing time: 22 Jul 2022, 17:44:08 UTC
Previous filing: 07 Jul 2022
Next filing: 02 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	+13,475		$0.000000	13,475	20 Jul 2022	Direct
transaction	NPTN	Common Stock	Disposed to Issuer	$211,917	-13,475	-100%	$15.73	0	20 Jul 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	-13,475	-25%	$0.000000	40,425	20 Jul 2022	Common Stock	13,475	$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	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.