RAMASWAMI RAJIV

SEC source: 0001209191-22-050910 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,576

F1 · shares: Shares sold pursuant to a 10b5-1 trading plan.

F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $22.71 to $23.10 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-22-050610 · doc4.xml · nonDerivative · entry 4

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,576

F1 · shares: Represents shares sold to cover the tax liability arising from the vesting of Reporting Person's Restricted Stock Units, or RSUs.

SEC source: 0001209191-22-050610 · doc4.xml · derivative · entry 7

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,534

Underlying: Class A Common Stock · 8,628 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F5 · derivative.exercise_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F5 · derivative.expiration_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-050610 · doc4.xml · derivative · entry 6

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,019

Underlying: Class A Common Stock · 58,446 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F4 · derivative.exercise_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F4 · derivative.expiration_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-050610 · doc4.xml · derivative · entry 5

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,964

Underlying: Class A Common Stock · 23,662 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F3 · derivative.exercise_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F3 · derivative.expiration_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-050610 · doc4.xml · nonDerivative · entry 3

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,952

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-050610 · doc4.xml · nonDerivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,324

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-050610 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,878

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-047844 · doc4.xml · derivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,302

Underlying: Class A Common Stock · 275,302 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit, or RSU, represents a contingent right to receive one share of Issuer's Class A common stock.

F3 · derivative.exercise_date: The RSUs will vest in 16 equal quarterly installments, with the first of such quarterly installments to vest on December 15, 2022, subject to the Reporting Person continuing to provide service to the Issuer through the applicable vesting date.

F3 · derivative.expiration_date: The RSUs will vest in 16 equal quarterly installments, with the first of such quarterly installments to vest on December 15, 2022, subject to the Reporting Person continuing to provide service to the Issuer through the applicable vesting date.

SEC source: 0001209191-22-047844 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,216

F1 · shares: On October 11, 2021, the Reporting Person was granted performance-based restricted stock units ("PRSUs"). The PRSUs are eligible to vest in up to three installments based on the total shareholder return of the Issuer over one-, two- and three-year performance periods, each commencing on August 1, 2021, relative to the total shareholder return of companies in the NASDAQ Composite Index. On August 25, 2022, the Compensation Committee of the Issuer's Board of Directors determined that the achievement percentage for the first performance period was 62.6385%, resulting in these shares becoming eligible to vest on September 15, 2022, subject to the Reporting Person continuing to provide service to the Issuer through the vesting date.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 10

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,787 shares

Expires not disclosed

F3 · price: 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.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 9

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,641 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 8

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,656 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 7

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,521 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 6

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,880 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 5

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,960 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 4

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,486 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 3

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,056 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · derivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,692 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-22-044613 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: 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").

F1 · price: 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").

SEC source: 0001209191-22-038663 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,392

F1 · shares: Shares sold pursuant to a 10b5-1 trading plan.

F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $14.46 to $14.90 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-22-038125 · doc4.xml · nonDerivative · entry 4

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,392

F1 · shares: Represents shares sold to cover the tax liability arising from the vesting of Reporting Person's Restricted Stock Units, or RSUs.

SEC source: 0001209191-22-038125 · doc4.xml · derivative · entry 7

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,162

Underlying: Class A Common Stock · 8,628 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F5 · derivative.exercise_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F5 · derivative.expiration_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-038125 · doc4.xml · derivative · entry 6

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 584,465

Underlying: Class A Common Stock · 58,447 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F4 · derivative.exercise_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F4 · derivative.expiration_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-038125 · doc4.xml · derivative · entry 5

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,626

Underlying: Class A Common Stock · 23,663 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F3 · derivative.exercise_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F3 · derivative.expiration_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-038125 · doc4.xml · nonDerivative · entry 3

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,526

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-038125 · doc4.xml · nonDerivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,898

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-038125 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,451

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001227025-22-000073 · edgardoc.xml · derivative · entry 3

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,787

Underlying: Common Stock · 5,787 shares

Expires 2023-06-02

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.

F2 · derivative.exercise_date: 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.

SEC source: 0001227025-22-000073 · edgardoc.xml · derivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,621 shares

Expires 2022-06-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NeoPhotonics common stock.

F2 · derivative.exercise_date: 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.

SEC source: 0001227025-22-000073 · edgardoc.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,459

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-020408 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,788

F1 · shares: Shares sold pursuant to the Reporting Persons 10b5-1 trading plan.

F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $24.55 to $24.915 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 953 shares of Class A Common Stock acquired under the Nutanix, Inc. Employee Stock Purchase Plan on March 20, 2022.

SEC source: 0001209191-22-019782 · doc4.xml · nonDerivative · entry 4

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,835

F1 · shares: Represents shares sold to cover the tax liability arising from the vesting of Reporting Person's Restricted Stock Units, or RSUs.

SEC source: 0001209191-22-019782 · doc4.xml · derivative · entry 7

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,790

Underlying: Class A Common Stock · 8,628 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F5 · derivative.exercise_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F5 · derivative.expiration_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-019782 · doc4.xml · derivative · entry 6

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 642,912

Underlying: Class A Common Stock · 58,447 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F4 · derivative.exercise_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F4 · derivative.expiration_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-019782 · doc4.xml · derivative · entry 5

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,289

Underlying: Class A Common Stock · 23,662 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Class A common stock.

F3 · derivative.exercise_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F3 · derivative.expiration_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares vesting quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-22-019782 · doc4.xml · nonDerivative · entry 3

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,068

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-019782 · doc4.xml · nonDerivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,440

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-019782 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,993

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001227025-22-000018 · edgardoc.xml · derivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,400 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: These options were granted to Dr. Ramaswami during his tenure on the Company's technical advisory board and prior to his appointment to the Board of Directors.

SEC source: 0001227025-22-000018 · edgardoc.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,838

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents a cash exercise.

SEC source: 0001209191-21-070965 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,331

F1 · kind: Shares sold pursuant to a 10b5-1 trading plan entered into by the Reporting Person.

F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $30.26 to $31.00 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-21-070717 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,331

F1 · shares: Represents shares sold to cover the tax liability arising from the vesting of Reporting Person's Restricted Stock Units, or RSUs.

SEC source: 0001209191-21-070403 · doc4.xml · derivative · entry 6

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,418

Underlying: Class A Common Stock · 8,627 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit, or RSU, represents a contingent right to receive one share of the Issuer's Class A common stock.

F5 · derivative.exercise_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F5 · derivative.expiration_date: The RSUs vest in 16 equal quarterly installments, with the first of such quarterly installments having vested on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-21-070403 · doc4.xml · derivative · entry 5

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 701,359

Underlying: Class A Common Stock · 233,786 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit, or RSU, represents a contingent right to receive one share of the Issuer's Class A common stock.

F4 · derivative.exercise_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares to vest quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F4 · derivative.expiration_date: As previously reported, on December 9, 2020, the Reporting Person was granted a target number of 703,117 performance-based RSUs ("PRSUs") subject to two stock price milestones. 133% of the target number of PRSUs became eligible to vest upon achievement of both milestones. The eligible PRSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares to vest quarterly thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-21-070403 · doc4.xml · derivative · entry 4

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,951

Underlying: Class A Common Stock · 94,650 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit, or RSU, represents a contingent right to receive one share of the Issuer's Class A common stock.

F3 · derivative.exercise_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares to vest quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

F3 · derivative.expiration_date: The RSUs vested as to 25% of the underlying shares on December 15, 2021, with 1/16th of the remaining shares to vest quarterly thereafter subject to the Reporting Person continuing to provide service to the Issuer through each vesting date.

SEC source: 0001209191-21-070403 · doc4.xml · nonDerivative · entry 3

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,016

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-21-070403 · doc4.xml · nonDerivative · entry 2

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,389

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-21-070403 · doc4.xml · nonDerivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,603

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes shares acquired under the Nutanix, Inc. Employee Stock Purchase Plan on September 20, 2021.

SEC source: 0001209191-21-060379 · doc4.xml · derivative · entry 1

RAMASWAMI RAJIV · CIK 0001483009 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,045

Underlying: Class A Common Stock · 138,045 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit, or RSU, represents a contingent right to receive one share of Issuer's Class A common stock.

F2 · derivative.exercise_date: The RSUs will vest in 16 equal quarterly installments, with the first of such quarterly installments to vest on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through the applicable vesting date.

F2 · derivative.expiration_date: The RSUs will vest in 16 equal quarterly installments, with the first of such quarterly installments to vest on December 15, 2021, subject to the Reporting Person continuing to provide service to the Issuer through the applicable vesting date.