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MARXE AUSTIN W & GREENHOUSE DAVID M
> NPTN
| Date | Name | Ticker | Shares | Change | Value | Change | Price |
| 09/30/2014 | NEOPHOTONICS CORP | NPTN | 2,208,656 | 879,302 | 7,399,000 | -2,425,000 | $3.35 |
| 06/30/2014 | NEOPHOTONICS CORP | NPTN | 2,021,207 | 329,853 | 8,408,000 | -5,004,000 | $4.16 |
| 03/31/2014 | NEOPHOTONICS CORP | NPTN | 1,691,354 | 362,000 | 13,412,000 | 3,588,000 | $7.93 |
| 12/31/2013 | NEOPHOTONICS CORP | NPTN | 1,691,354 | 362,000 | 11,941,000 | 2,117,000 | $7.06 |
| 09/30/2013 | NEOPHOTONICS CORP | NPTN | 1,329,354 | 1,329,354 | 9,824,000 | 9,824,000 | $7.39 |
| 06/30/2013 | NEOPHOTONICS CORP | NPTN | 1,136,533 | 713,643 | 9,876,000 | 7,449,000 | $8.69 |
| 03/31/2013 | NEOPHOTONICS CORP | NPTN | 497,903 | 75,013 | 2,544,000 | 117,000 | $5.11 |
| 12/31/2012 | NEOPHOTONICS CORP | NPTN | 422,890 | 0 | 2,427,000 | -43,000 | $5.74 |
| 09/30/2012 | NEOPHOTONICS CORP | NPTN | 422,890 | 0 | 2,470,000 | 381,000 | $5.84 |
| 06/30/2012 | NEOPHOTONICS CORP | NPTN | 422,890 | 201,655 | 2,089,000 | 1,043,000 | $4.94 |
| 03/31/2012 | NEOPHOTONICS CORP | NPTN | 221,235 | 158,945 | 1,046,000 | 617,000 | $4.73 |
| 12/31/2011 | NEOPHOTONICS CORP | NPTN | 194,489 | 132,199 | 891,000 | 462,000 | $4.58 |
| 09/30/2011 | NEOPHOTONICS CORP | NPTN | 62,290 | 62,290 | 429,000 | 429,000 | $6.89 |
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