Jenks Timothy Storrs 4

4 · NEOPHOTONICS CORP · Filed Jul 22, 2022

Form 4

Period: 2022-07-20

DirectorPresident, CEO and Chairman

Transactions

Exercise/Conversion
Restricted Stock Units (right to acquire)
2022-07-20−33,950→ 101,850 total
Exercise: $0.00From: 2022-07-20Exp: 2025-07-20→ Common Stock (33,950 underlying)
Disposition to Issuer
Common Stock
2022-07-20$15.71/sh−15,913$249,993→ 431,334 total
Exercise/Conversion
Common Stock
2022-07-20+33,950→ 465,284 total

Holdings

Footnotes (6)

[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]Represents shares held by Timothy S. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022.
[F3]Represents shares held by Atsuko K. Jenks in a Charitable Lead Annuity Trust dated April 28, 2022.
[F4]Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
[F5]Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
[F6]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.

Documents

1 file