SOPHIE MICHAEL J 4

4 · NEOPHOTONICS CORP · Filed Jan 19, 2021

Insider Transaction Report

Form 4

Period: 2021-01-15

NEOPHOTONICS CORPNPTN

SOPHIE MICHAEL J

Director

Transactions

Sale
Common Stock
2021-01-15$11.00/sh−5,856$64,416→ 36,180 total
Sale
Common Stock
2021-01-15$11.00/sh−1,171$12,881→ 36,180 total
Exercise/Conversion
Common Stock
2021-01-15$9.20/sh+7,521$69,193→ 43,701 total
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-01-15$11.00/sh−5,856$64,416→ 5,857 total
Exercise: $4.33Exp: 2029-06-03→ Common Stock (5,856 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-01-15$11.00/sh−1,171$12,881→ 0 total
Exercise: $4.33Exp: 2029-06-03→ Common Stock (1,171 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-01-15$11.00/sh−12,486$137,346→ 0 total
Exercise: $6.78Exp: 2028-06-04→ Common Stock (12,486 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-01-15$11.00/sh−7,521$82,731→ 0 total
Exercise: $9.20Exp: 2027-05-31→ Common Stock (7,521 underlying)
Exercise/Conversion
Common Stock
2021-01-15$4.33/sh+2,343$10,145→ 38,523 total
Exercise/Conversion
Common Stock
2021-01-15$4.33/sh+5,856$25,356→ 42,036 total
Exercise/Conversion
Common Stock
2021-01-15$6.78/sh+12,486$84,655→ 48,666 total
Sale
Common Stock
2021-01-15$11.00/sh−12,486$137,346→ 36,180 total
Sale
Common Stock
2021-01-15$11.00/sh−2,343$25,773→ 36,180 total
Exercise/Conversion
Common Stock
2021-01-15$4.33/sh+4,686$20,290→ 40,866 total
Sale
Common Stock
2021-01-15$11.00/sh−4,686$51,546→ 36,180 total
Exercise/Conversion
Common Stock
2021-01-15$4.33/sh+1,171$5,070→ 37,351 total
Sale
Common Stock
2021-01-15$11.00/sh−7,521$82,731→ 36,180 total
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-01-15$11.00/sh−4,686$51,546→ 1,171 total
Exercise: $4.33Exp: 2029-06-03→ Common Stock (4,686 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-01-15$11.00/sh−2,343$25,773→ 11,713 total
Exercise: $4.33Exp: 2029-06-03→ Common Stock (2,343 underlying)

Footnotes (2)

[F1]Exercise pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
[F2]This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Directors of the Company.

Documents

1 file

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edgardoc.xmlPrimary
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