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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
1488795	Storrs Timothy Jenks	3081 Zanker Rd San Jose CA 95134	Ceo	Yes	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	2020-06-04	27,000	$0.00	405,165	No	4	M	Direct
Common Stock	Disposition	2020-06-08	25,424	$10.25	379,741	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	2020-06-04	27,000	$0.00	27,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
36,000		2021-06-04	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,076	Indirect	As Trustee
Common Stock	3,798	Indirect	by Trust

Footnotes

Balance includes non-reportable acquisition of shares through the Company's 2010 Employee Stock Purchase Plan.
Sale pursuant to a trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996.
Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.
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.