X0306 4 2022-08-03 1 0001227025 NEOPHOTONICS CORP NPTN 0001483009 RAMASWAMI RAJIV C/O NEOPHOTONICS CORPORATION 3081 ZANKER ROAD SAN JOSE CA 95134 1 0 0 0 Common Stock 2022-08-03 4 D 0 49459 D 0 D Non-Qualified Stock Option (right to buy) 3.25 2022-08-03 4 D 0 7692 D Common Stock 7692 0 D Non-Qualified Stock Option (right to buy) 4.33 2022-08-03 4 D 0 14056 D Common Stock 14056 0 D Non-Qualified Stock Option (right to buy) 6.78 2022-08-03 4 D 0 12486 D Common Stock 12486 0 D Non-Qualified Stock Option (right to buy) 8.56 2022-08-03 4 D 0 8960 D Common Stock 8960 0 D Non-Qualified Stock Option (right to buy) 8.68 2022-08-03 4 D 0 2880 D Common Stock 2880 0 D Non-Qualified Stock Option (right to buy) 9.20 2022-08-03 4 D 0 7521 D Common Stock 7521 0 D Non-Qualified Stock Option (right to buy) 9.41 2022-08-03 4 D 0 2656 D Common Stock 2656 0 D Non-Qualified Stock Option (right to buy) 10.17 2022-08-03 4 D 0 7641 D Common Stock 7641 0 D Restricted Stock Unit (right to acquire) 0.00 2022-08-03 4 D 0 5787 D Common Stock 5787 0 D Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 3, 2021, by and among the Issuer, Lumentum Holdings Inc., a Delaware corporation ("Lumentum"), and Neptune Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Lumentum ("Merger Sub"), on August 3, 2022 (the "Closing Date"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Lumentum. In connection with the Merger, these shares were cancelled and converted into the right to receive $16.00 in cash, without interest, per share, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). Options to purchase common stock of the Issuer, whether vested or unvested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration, less the exercise price per share of such cancelled option. Restricted Stock Unit Awards of the Issuer, whether vested or unvested as of immediately prior to the Closing Date, were cancelled and converted into the right to receive the Merger Consideration. Exhibit List Exhibit 24: Authorization Letter /s/ John Sellers, Attorney-in-fact 2022-08-05