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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
1286373	Ray Wallin	2911 Zanker Rd San Jose CA 95134	Svp, 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	Explanation
Common Stock	Acquisiton	2014-08-13	18,500	$2.79	18,500	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	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)	Acquisiton	2013-12-23	58,308	$0.00	58,308	$6.86
Common Stock	Non-Qualified Stock Option (right to buy)	Acquisiton	2013-12-23	16,692	$0.00	16,692	$6.86
Common Stock	Non-Qualified Stock Option (right to buy)	Acquisiton	2013-12-23	75,000	$0.00	75,000	$6.86
Common Stock	Restricted Stock Units (right to acquire)	Acquisiton	2013-12-23	25,000	$0.00	25,000	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
58,308	2023-12-22	No	4	A	Direct
16,692	2023-12-22	No	4	A	Direct
75,000	2023-12-23	No	4	A	Direct
25,000	2016-12-23	No	4	A	Direct

Footnotes

This grant was previously reported on the Reporting Person's Form 3 filed on 1/2/14.
25% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and 1/48th of the total number of Option Shares shall vest on each monthly anniversary of the Vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries.
100% of the shares subject to the option will vest on December 12, 2019; provided, however, if, during the term of the option (i) the average closing price of the Company's common stock over a period of 20 consecutive trading days is equal to or greater than $15.00 per share (as adjusted for stock splits, recombinations and the like), and (ii) Reporting Person remains in Continuous Service with the Company through such period (the "Performance Condition"), then 100% of the shares subject to the option will fully accelerate and vest.
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. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.
Represents the vest date of the last installment of this award.