ABBE CHARLES J 4

4 · NEOPHOTONICS CORP · Filed Nov 4, 2020

Form 4

Period: 2020-11-02

Director

Transactions

Exercise/Conversion
Common Stock
2020-11-02$6.78/sh+12,486$84,655→ 122,414 total
Exercise/Conversion
Common Stock
2020-11-02$5.74/sh+7,421$42,597→ 129,835 total
Exercise/Conversion
Common Stock
2020-11-02$4.33/sh+14,056$60,862→ 109,928 total
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2020-11-02−14,056→ 0 total
Exercise: $4.33Exp: 2029-06-03→ Common Stock (14,056 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2020-11-02−7,421→ 0 total
Exercise: $5.74Exp: 2022-10-02→ Common Stock (7,421 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2020-11-02−12,486→ 0 total
Exercise: $6.78Exp: 2028-06-04→ Common Stock (12,486 underlying)

Footnotes (3)

[F1]Represents a cash exercise.
[F2]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.
[F3]The shares subject to the option will vest in forty-eight (48) equal monthly installments from the grant date, such that the option is fully vested on the fourth anniversary of the date of the grant, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2010 Equity Incentive Plan).

Documents

1 file