Yuen Wupen - Dec 29, 2021 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role
VICE PRESIDENT GLOBAL PRODUCT
Signature
By: /s/ Barbara Rogan, Attorney-in-fact For: Wupen Yuen
Stock symbol
NPTN
Transactions as of
Dec 29, 2021
Transactions value $
$35,770
Form type
4
Date filed
1/3/2022, 03:23 PM
Previous filing
Nov 8, 2021
Next filing
May 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NPTN Common Stock Options Exercise $35.8K +7K +4.19% $5.11 174K Dec 29, 2021 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 Non-Qualified Stock Option (right to buy) Options Exercise $0 -7K -9.33% $0.00 68K Dec 29, 2021 Common Stock 7K $5.11 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a cash exercise.