Form Type: 4

SEC EDGAR Link
Accession Number:0001227025-21-000124
Date:2021-06-01
Issuer: NEOPHOTONICS CORP (NPTN)
Original Submission Date:

Reporting Person:

RAMASWAMI RAJIV
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
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) 10.17 2021-06-01 deemed execution date A 7,641 (a) 2031-05-31 common stock 7,641 $10.17 7,641 direct
RESTRICTED STOCK UNITS (RIGHT TO ACQUIRE) 0.0 2021-06-01 deemed execution date A 4,621 (a) 2022-06-01 common stock 4,621 $0.00 4,621 direct
Footnotes
IDfootnote
f1 this option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the reporting person remains a member of the board of directors of the company.
f2 each restricted stock unit represents a contingent right to receive one share of neophotonics common stock.
f3 this rsu shall vest on the 12 month anniversary of the grant date, so long as the reporting person remains a member of the board of directors of the company.
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