cheung Chiyue 4

4 · NEOPHOTONICS CORP · Filed Nov 8, 2021

Form 4

Period: 2021-11-04

VP and COO

Transactions

Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-11-04$15.04/sh−33,000$496,320→ 0 total
Exercise: $7.59Exp: 2025-10-26→ Common Stock (33,000 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-11-04$15.04/sh−30,000$451,200→ 0 total
Exercise: $12.27Exp: 2026-08-01→ Common Stock (30,000 underlying)
Exercise/Conversion
Common Stock
2021-11-04$7.59/sh+33,000$250,470→ 33,000 total
Sale
Common Stock
2021-11-04$15.04/sh−33,000$496,320→ 0 total
Sale
Common Stock
2021-11-04$15.04/sh−29,000$436,160→ 0 total
Exercise/Conversion
Common Stock
2021-11-04$12.27/sh+30,000$368,100→ 30,000 total
Sale
Common Stock
2021-11-04$15.04/sh−30,000$451,200→ 0 total
Exercise/Conversion
Common Stock
2021-11-04$8.07/sh+29,000$234,030→ 29,000 total
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2021-11-04$15.04/sh−29,000$436,160→ 0 total
Exercise: $8.07Exp: 2027-07-31→ Common Stock (29,000 underlying)

Footnotes (4)

[F1]Sale 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]50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
[F3]The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries.
[F4]30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.

Documents

1 file