Bradford W. Wright - Jul 27, 2022 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
Senior VP, Global Sales
Signature
By: /s/ Barbara Rogan For: Bradford Wright
Stock symbol
NPTN
Transactions as of
Jul 27, 2022
Transactions value $
-$156,294
Form type
4
Date filed
7/28/2022, 07:14 PM
Previous filing
Jul 7, 2022
Next filing
Aug 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $0 +34K $0.00 34K Jul 27, 2022 Direct
transaction NPTN Common Stock Disposed to Issuer -$156K -9.96K -29.3% $15.70 24K Jul 27, 2022 Direct F1

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 -34K -25% $0.00 102K Jul 27, 2022 Common Stock 34K $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.