Form Type: 4

SEC EDGAR Link
Accession Number:0001227025-19-000097
Date:2019-11-14
Issuer: NEOPHOTONICS CORP (NPTN)
Original Submission Date:

Reporting Person:

WUPEN YUEN
2911 ZANKER RD
SAN JOSE, CA 95134

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-11-14 M 11,200 a $3.50 106,685 direct
COMMON STOCK 2019-11-14 S 11,200 d $8.53 95,485 direct
COMMON STOCK 2019-11-14 S 4,063 d $8.54 91,422 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) 3.5 2019-11-14 deemed execution date M 11,200 (d) 2017-01-01 2020-01-26 common stock 11,200 $3.50 0 direct
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