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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1227025	Neophotonics Corp	NPTN	Semiconductors & Related Devices (3674)	943253730

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1489294	Chiyue Cheung	3081 Zanker Rd San Jose CA 95134	Chief Operating Officer	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	2021-01-22	19,500	$11.82	19,500	No	4	M	Direct
Common Stock	Disposition	2021-01-26	19,500	$11.82	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
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	Restricted Stock Units (right to acquire)	Disposition	2021-01-22	19,500	$11.82	19,500	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
45,500		2025-07-01	No	4	M	Direct

Footnotes

In accordance with the State Administration of Foreign Exchange in China, shares acquired by Chinese national employees through an award granted under the Company's 2010 EIP Plan are subject to immediate sale.
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
These restricted stock units are scheduled to vest 25% of the underlying shares on July 1, 2019, 25% on July 1, 2020, 25% on July 1, 2021 and 25% on July 1, 2022, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries and additionally subject to achievement of the performance conditions described in the next sentence. In addition to the foregoing time-based vesting conditions, these restricted stock units will vest if the 30-day weighted average closing price of the Company's common stock is equal to or greater than certain price targets per share (30% of the shares upon a $10 price target, 30% upon an $11 price target and 40% upon a $12 price target). Both the time-based vesting and the performance condition must be met for vesting of the applicable shares. 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.