You are a Registered Shareholder if you own shares in your name with NeoPohotonics Corporation's transfer agent, American Stock Transfer & Trust Company, LLC. This includes participants in the NeoPhotonics Corporation Employee Stock Purchase Plan.

 

You are a Beneficial Shareholder if you maintain your position in the Company within a brokerage account.

 

You are a Foreign Investor if you do not have a US/Canadian Social Security Number or Tax ID associated with your account.