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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1227025	Neophotonics Corp	NPTN	Semiconductors & Related Devices (3674)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1488404	Daniel James Fay	2911 Zanker Rd San Jose CA 95134	Svp And Cfo	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2013-06-17	8,920	$7.83	34,035	No	4	S	Direct
Common Stock	Acquisiton	2013-06-17	700	$4.25	34,735	No	4	M	Direct
Common Stock	Disposition	2013-06-17	700	$8.00	34,035	No	4	S	Direct
Common Stock	Acquisiton	2013-06-18	9,300	$4.25	43,335	No	4	M	Direct
Common Stock	Disposition	2013-06-18	9,300	$8.01	34,035	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Incentive Stock Option (right to buy)	Disposition	2013-06-17	700	$0.00	700	$4.25
Common Stock	Incentive Stock Option (right to buy)	Disposition	2013-06-18	9,300	$0.00	9,300	$4.25

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
13,300		2018-11-04	No	4	M	Direct
4,000		2018-11-04	No	4	M	Direct

Footnotes

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.
Exercise and same day 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.
Shares shall vest at a rate of 1/48th of the total number of Option Shares on each monthly anniversary of the vesting commencement date, so long as the Reporting Person remains an employee of the Company.