Form Type: 4

SEC EDGAR Link
Accession Number:0001227025-21-000130
Date:2021-06-04
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 2021-06-04 M 15,600 a $0.00 378,741 direct
COMMON STOCK 2021-06-04 D 7,735 d $10.65 371,006 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
RESTRICTED STOCK UNITS (RIGHT TO ACQUIRE) 0.0 2021-06-04 deemed execution date M 15,600 (d) 2021-06-04 common stock 15,600 $0.00 0 direct
Footnotes
IDfootnote
f1 balance includes non-reportable acquisition of shares through the company's 2010 employee stock purchase plan.
f2 represents shares withheld by the company to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the reporting person.
f3 each restricted stock unit represents a contingent right to receive one share of neophotonics common stock.
f4 these restricted stock units are scheduled to vest 30% on june 4, 2019, 30% on june 4, 2020 and 40% on june 4, 2021, 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.
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