NEOPHOTONICS CORP Contracts & Agreements

Credit Line Agreement dated July 29, 2022, by and between NeoPhotonics (China) Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese... (Filed With SEC on August 2, 2022)

Credit Line Agreement, dated July 29, 2022, by and between NeoPhotonics Dongguan Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese... (Filed With SEC on August 2, 2022)

2022 Target Bonus Program (Filed With SEC on July 26, 2022)

Labor Contract dated June 13, 2016, by and between NeoPhotonics (China) Co. and Chi Yue (Raymond) Cheung (Translation to English of Chinese original agreement) (Filed With SEC on April 28, 2022)

Offer Letter dated June 25, 2021 by and between NeoPhotonics Corporation and Bradford Wright (Filed With SEC on February 25, 2022)

Retention Agreement dated July 27, 2021 by and between NeoPhotonics Corporation and Bradford Wright (Filed With SEC on February 25, 2022)

Credit Agreement, dated as of January 14, 2022, between Lumentum Holdings Inc. and NeoPhotonics Corporation (Filed With SEC on January 20, 2022)

Subordination Agreement, dated as of January 14, 2022, by and among Lumentum Holdings Inc., NeoPhotonics Corporation, the other loan parties party thereto, and Wells Fargo Bank (Filed With SEC on January 20, 2022)

Agreement and Plan of Merger, dated as of November 3, 2021, by and among Lumentum Holdings Inc., Neptune Merger Sub, Inc. and NeoPhotonics Corporation (Filed With SEC on November 8, 2021)

2021 Target Bonus Program (Filed With SEC on November 4, 2021)

Property Lease Contract dated July 27, 2021, by and between NeoPhotonics Dongguan Co., Ltd. and Dongguan Conrad Hi-Tech Park, Ltd (Filed With SEC on August 3, 2021)

Amended and Restated Credit Agreement, dated as of June 29, 2021, among NeoPhotonics Corporation, the lenders that are parties thereto and Wells Fargo Bank, National Association,... (Filed With SEC on July 2, 2021)

Credit Line Agreement dated June 17, 2021, by and between NeoPhotonics (China) Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese... (Filed With SEC on June 22, 2021)

Credit Line Agreement, dated June 17, 2021, by and between NeoPhotonics Dongguan Co., Ltd. and Shanghai Pudong Development Bank Shenzhen Branch (Translation to English of Chinese... (Filed With SEC on June 22, 2021)

Updated Retention Agreement, dated March 25, 2021, between Yang Chiah Yee and NeoPhotonics Corporation (Filed With SEC on March 30, 2021)

2020 Bonus Program (Filed With SEC on November 2, 2020)

Amended Non-Employee Director Compensation Policy (Filed With SEC on August 5, 2020)

Description of Securities (Filed With SEC on February 28, 2020)

First Amendment to Credit Agreement and First Amendment to Guaranty and Security Agreement dated June 14, 2019, with Wells Fargo Bank, National Association, as administrative... (Filed With SEC on June 19, 2019)

2018 Bonus Program (Filed With SEC on August 6, 2018)

Offer Letter dated March 19, 2018 by and between NeoPhotonics Corporation and Yang Chiah Yee (Filed With SEC on May 9, 2018)

Retention Agreement dated March 22, 2018 by and between NeoPhotonics Corporation and Yang Chiah Yee (Filed With SEC on May 9, 2018)

Separation Agreement, by and between NeoPhotonics Corporation and Benjamin Sitler dated December 20, 2017 (Filed With SEC on March 9, 2018)

Loan Agreement by and between NeoPhotonics Semiconductor GK and The Bank of Toyko-Mitsubishi UFJ, Ltd. and The Yamanashi Chou Bank, Ltd. dated January 29, 2018 (Filed With SEC on March 9, 2018)

Amendment to Retention Agreement by and between NeoPhotonics Corporation and Elizabeth Eby dated November 6, 2017 (Filed With SEC on March 9, 2018)

Comprehensive Credit Granting Contract, dated December 14, 2017, by and between NeoPhotonics (China) Co., Ltd. and China CITIC Bank (Translation to English of Chinese original... (Filed With SEC on December 18, 2017)

Offer Letter dated July 13, 2017 by and between NeoPhotonics Corporation and Elizabeth Eby (Filed With SEC on November 8, 2017)

Retention Agreement dated August 14, 2017 by and between NeoPhotonics Corporation and Elizabeth Eby (Filed With SEC on November 8, 2017)

Thirteenth Amendment effective as of August 23, 2017 to Revolving Credit and Term Loan Agreement, dated March 21, 2013, by and between NeoPhotonics Corporation and Comerica Bank,... (Filed With SEC on September 7, 2017)

ELEVENTH AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on August 9, 2017)

NeoPhotonics Corporation Consulting Agreement (Filed With SEC on August 9, 2017)

SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS (Filed With SEC on August 9, 2017)

TWELFTH AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on July 5, 2017)

STANDARD INDUSTRIAL LEASE (Multiple Tenant Tenant Pays its Percentage Share of Operating Expenses, Real Property Taxes and Insurance Costs NO Base Year) (Filed With SEC on June 19, 2017)

[Translation – For Reference Purposes Only] (Filed With SEC on May 9, 2017)

NeoPhotonics Corporation Amended and Restated Non-Employee Director Compensation Policy Effective: April 25, 2013 (as amended by by the Board on January 18, 2017) (Filed With SEC on March 16, 2017)

TENTH AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on March 16, 2017)

Dated December 14, 2016 NeoPhotonics Dongguan Co., Ltd. NeoPhotonics (China) Co., Ltd. and APAT Optoelectronics Components Co., Ltd. ASSET PURCHASE AGREEMENT (Filed With SEC on January 23, 2017)

Supplementary Agreement to Asset Purchase Agreement (Filed With SEC on January 23, 2017)

Second Supplementary Agreement to Asset Purchase Agreement (Filed With SEC on January 23, 2017)

NINTH AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on November 8, 2016)

Financing Credit Line Agreement (Filed With SEC on November 8, 2016)

NeoPhotonics Corporation Amendment Two to Rights Agreement (Filed With SEC on November 8, 2016)

Financing Credit Line Agreement (Filed With SEC on November 8, 2016)

NeoPhotonics Corporation Retention Agreement (Filed With SEC on August 9, 2016)

2016 EXECUTIVE OFFICER BONUS PROGRAM (Filed With SEC on May 10, 2016)

CHINA CITIC BANK (Filed With SEC on March 15, 2016)

SPD BANK Credit Line Agreement (Filed With SEC on March 15, 2016)

FIRST LEASE AMENDMENT (Filed With SEC on March 15, 2016)

Comprehensive Credit Granting Contract (Version 1.0, 2014) CHINA CITIC BANK (Filed With SEC on November 6, 2015)

AMENDMENT TO RIGHTS AGREEMENT (Filed With SEC on July 15, 2015)

Shares* NeoPhotonics Corporation Common Stock UNDERWRITING AGREEMENT (Filed With SEC on May 13, 2015)

2015 EXECUTIVE OFFICER BONUS PROGRAM (Filed With SEC on May 11, 2015)

TRUE-UP CONFIRMATION AGREEMENT (Filed With SEC on April 21, 2015)

SEVENTH AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on April 1, 2015)

Revenue Stamp 100,000 yen (Filed With SEC on March 16, 2015)

Revenue Stamp 200,000 yen (Filed With SEC on March 16, 2015)

SIXTH AMENDMENT TO CREDIT AGREEMENT AND AMENDMENT TO SECURITY AGREEMENT (Filed With SEC on January 28, 2015)

COMMITMENT TO FILE REGISTRATION STATEMENT AND RELATED WAIVER OF REGISTRATION RIGHTS December 16, 2014 (Filed With SEC on December 19, 2014)

NeoPhotonics Corporation Amended and Restated Severance Rights Agreement (Filed With SEC on November 10, 2014)

ASSET PURCHASE AGREEMENT dated as of October 22, 2014 by and between EMCORECORPORATION and NEOPHOTONICS CORPORATION TABLE OF CONTENTS (Filed With SEC on October 27, 2014)

FOURTH AMENDMENT TO CREDIT AGREEMENT AND AMENDMENT TO SECURITY AGREEMENT (Filed With SEC on May 20, 2014)

CONSENT (Filed With SEC on May 7, 2014)

THIRD AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on March 10, 2014)

SECOND AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on February 18, 2014)

FIRST AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on January 17, 2014)

NeoPhotonics Corporation Amended and Restated Non-Employee Director Compensation Policy Effective: April 25, 2013 (Filed With SEC on August 8, 2013)

FIRST LEASE AMENDMENT (Filed With SEC on August 8, 2013)

NeoPhotonics Corporation Amended and Restated Non-Employee Director Compensation Policy Effective: April 25, 2013 (Filed With SEC on May 15, 2013)

NEOPHOTONICS CORPORATION REVOLVING CREDIT AND TERM LOAN AGREEMENT DATED AS OF MARCH 21, 2013 COMERICA BANK AS ADMINISTRATIVE AGENT AND LEAD ARRANGER TABLE OF CONTENTS (Filed With SEC on March 27, 2013)

2012 EXECUTIVE OFFICER BONUS PROGRAM (Filed With SEC on August 10, 2012)

AMENDMENT TO SEVERANCE RIGHTS AGREEMENT (Filed With SEC on May 10, 2012)

NeoPhotonics Corporation Severance Rights Agreement (Filed With SEC on May 10, 2012)

SHARE PURCHASE AGREEMENT (Filed With SEC on May 1, 2012)

RIGHTS AGREEMENT (Filed With SEC on May 1, 2012)

[Signature Page to Lock-Up Agreement] (Filed With SEC on May 1, 2012)

NEOPHOTONICS CORPORATION 2010 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS:APRIL 14, 2010 APPROVED BY THESTOCKHOLDERS: JULY 20, 2010 AMENDED BYTHE BOARD: NOVEMBER 29,... (Filed With SEC on March 30, 2012)

LEASE STEVENSON BUSINESS PARK 40915 ENCYCLOPEDIA CIRCLE, LLC, A California limited liability company, as Landlord, and SANTURCORPORATION a Delaware corporation, as Tenant. TABLE... (Filed With SEC on March 30, 2012)

INDUSTRIAL SPACE LEASE THE KAYE BUILDING, LLC AS LANDLORD AND SANTUR CORP. AS TENANT OFFICE LEASE SUMMARY OF BASIC LEASE TERMS (Filed With SEC on March 30, 2012)

PROPERTY LEASE CONTRACT BETWEEN DONGGUAN CONRAD HI-TECH PARK LTD. AND NEOPHOTONICS (CHINA) CO., LTD. SHENZHEN, CHINA 13 May, 2011 2 TABLE OF CONTRACT (Filed With SEC on November 10, 2011)

Building Lease Agreement (Hachioji Azumacho Center Building) September 8, 2011 (Filed With SEC on November 10, 2011)

THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT AND WAIVER AND CONSENT (Filed With SEC on November 10, 2011)

LIBOR/Prime Referenced Rate Addendum To Loan and SecurityAgreement (Filed With SEC on November 10, 2011)

AGREEMENT AND PLAN OF MERGER BY AND AMONG NEOPHOTONICS CORPORATION, DULCIMER ACQUISITION CORP., SANTUR CORPORATION and SHAREHOLDER REPRESENTATIVE SERVICES LLC, AS STOCKHOLDER... (Filed With SEC on October 18, 2011)

NeoPhotonics Corporation Non-Employee Director Compensation Policy Effective: April 1, 2011 (Filed With SEC on August 11, 2011)

2011 EXECUTIVE OFFICER CASH COMPENSATION ARRANGEMENTS (Filed With SEC on August 11, 2011)

NEOPHOTONICS CORPORATION 2010 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS:APRIL 14, 2010 APPROVED BY THESTOCKHOLDERS: JULY 20, 2010 AMENDED BYTHE BOARD: NOVEMBER 29,... (Filed With SEC on March 28, 2011)

NEOPHOTONICS CORPORATION Shares of Common Stock UNDERWRITING AGREEMENT (Filed With SEC on January 18, 2011)

NEOPHOTONICS CORPORATION 2010 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS:APRIL 14, 2010 APPROVED BY THESTOCKHOLDERS: JULY 20, 2010 AMENDED BYTHE BOARD: NOVEMBER 29,... (Filed With SEC on January 18, 2011)

Accounts Receivable Pledge Contract - 1 - Accounts Receivable Pledge Contract (Filed With SEC on January 18, 2011)

NEOPHOTONICS CORPORATION 2004 STOCK OPTION PLAN Adopted: March 14, 2004 Termination Date: March 14, 2014 (Filed With SEC on November 22, 2010)

NEOPHOTONICS CORPORATION 2010 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS:APRIL 14, 2010 TERMINATION DATE: APRIL 13, 2020 (Filed With SEC on November 22, 2010)

NEOPHOTONICS CORPORATION 2010 EMPLOYEE STOCK PURCHASE PLAN ADOPTED BY THE BOARD OF DIRECTORS:APRIL 14, 2010 (Filed With SEC on November 22, 2010)

Article I Definition (Filed With SEC on November 22, 2010)

Working Capital Loan Contract - 1 - Working Capital Loan Contract (Filed With SEC on November 22, 2010)

LEASE DATED April 7, 1999 BY AND BETWEEN SILICON VALLEY PROPERTIES, LLC, a Delaware limited liability company as Landlord and LIGHTWAVE MICROSYSTEMS CORPORATION, a California... (Filed With SEC on July 23, 2010)

NEOPHOTONICS CORPORATION 2008 INVESTORS RIGHTS AGREEMENT (Filed With SEC on April 15, 2010)

WARRANT TO PURCHASE STOCK (Filed With SEC on April 15, 2010)

INDEMNIFICATION AGREEMENT (Filed With SEC on April 15, 2010)

NEOPHOTONICS CORPORATION 2004 STOCK OPTION PLAN Adopted: March 14, 2004 Termination Date: March 14, 2014 (Filed With SEC on April 15, 2010)

NEOPHOTONICS CORPORATION 2007 STOCK APPRECIATION GRANTS PLAN Adopted: October 4, 2007 Termination Date: October 4, 2014 (Filed With SEC on April 15, 2010)

NEOPHOTONICS CORPORATION 2010 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS:APRIL 14, 2010 TERMINATION DATE: APRIL 13, 2020 (Filed With SEC on April 15, 2010)

NEOPHOTONICS CORPORATION 2010 EMPLOYEE STOCK PURCHASE PLAN ADOPTED BY THE BOARD OF DIRECTORS:APRIL 14, 2010 (Filed With SEC on April 15, 2010)

LEASE DATED April 7, 1999 BY AND BETWEEN SILICON VALLEY PROPERTIES, LLC, a Delaware limited liability company as Landlord and LIGHTWAVE MICROSYSTEMS CORPORATION, a California... (Filed With SEC on April 15, 2010)

LOAN AND SECURITY AGREEMENT NEOPHOTONICS CORPORATION LOAN AND SECURITY AGREEMENT (Filed With SEC on April 15, 2010)

Property Lease Contract [two partial seals superimposed on right margin] Property Lease Contract (Filed With SEC on April 15, 2010)

Maximum Comprehensive Credit Line Contract [two partial seals of Agricultural Bank and NeoPhotonics superimposed on right margin] 1 Maximum Comprehensive Credit Line Contract (Filed With SEC on April 15, 2010)

Loan Contract [two partial seals of Agricultural Bank and NeoPhotonics superimposed on right margin] Loan Contract (Filed With SEC on April 15, 2010)

2. Description ofloans (Filed With SEC on April 15, 2010)

Accounts Receivable Pledge Contract - 1 - Accounts Receivable Pledge Contract (Filed With SEC on April 15, 2010)

Short Term Loan Agreement (Filed With SEC on April 15, 2010)

Comprehensive Credit Line Contract (Filed With SEC on April 15, 2010)

RMB Loan Contract (Filed With SEC on April 15, 2010)

Page 1 of8 (Filed With SEC on April 15, 2010)

NeoPhotonics Corporation Amended and Restated Severance Rights Agreement (Filed With SEC on April 15, 2010)

NeoPhotonics Corporation Severance Rights Agreement (Filed With SEC on April 15, 2010)

NeoPhotonics Corporation Amended and Restated Severance Rights Agreement (Filed With SEC on April 15, 2010)

NeoPhotonics Corporation Non-Employee Director Compensation Policy Effective: Upon the effectiveness of the IPO (Filed With SEC on April 15, 2010)

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NEOPHOTONICS CORP Contracts & Agreements