Yuen Wupen - 20 Jul 2022 Form 4 Insider Report for NEOPHOTONICS CORP (NPTN)

Role: VICE PRESIDENT GLOBAL PRODUCT
Signature: By: /s/ Barbara Rogan For: Wupen Yuen
Issuer symbol: NPTN
Transactions as of: 20 Jul 2022
Net transactions value: -$73,209
Form type: 4
Filing time: 22 Jul 2022, 17:01:06 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	Disposed to Issuer	$73,209	-4,660	-2.4%	$15.71	186,117	20 Jul 2022	Direct	F1
transaction	NPTN	Common Stock	Options Exercise	$0	+13,475	+7.2%	$0.000000	199,592	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	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.