Form Type: 4

SEC EDGAR Link
Accession Number:0001227025-21-000097
Date:2021-05-06
Issuer: NEOPHOTONICS CORP (NPTN)
Original Submission Date:

Reporting Person:

EBY ELIZABETH LYNNE
3081 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 2021-05-06 M 115,312 a $5.89 450,482 direct
COMMON STOCK 2021-05-06 S 90,558 d $8.99 359,924 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) 5.89 2021-05-06 deemed execution date M 115,312 (d) 2027-08-14 common stock 115,312 $5.89 23,063 direct
Footnotes
IDfootnote
f1 represents the number of shares sold by the reporting person to cover option cost and tax withholding obligations in connection with an exercise-and-sell-to-cover.
f2 twenty-five percent (25%) of the underlying shares shall vest on the one year anniversary of the vesting commencement date, and one forty-eighth (1/48th) of the shares shall vest each month thereafter, subject to the recipient's continued service through such date.

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