Filing Details
- Accession Number:
- 0001104659-21-089874
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-07-07 17:56:59
- Reporting Period:
- 2021-07-02
- Accepted Time:
- 2021-07-07 17:56:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1282631 | Netlist Inc | NLST | Semiconductors & Related Devices (3674) | 954812784 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1422990 | M Gail Sasaki | 175 Technology, Suite 150 Irvine CA 92618 | Vice President And Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2021-07-02 | 50,000 | $4.20 | 474,545 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-07-06 | 75,000 | $0.70 | 549,545 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-07-06 | 75,000 | $5.25 | 474,545 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-07-06 | 15,000 | $0.71 | 489,545 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-07-06 | 15,000 | $5.25 | 474,545 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-07-06 | 60,000 | $0.71 | 534,545 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-07-06 | 60,000 | $5.25 | 474,545 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-07-06 | 75,000 | $0.84 | 549,545 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-07-06 | 75,000 | $5.40 | 474,545 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-07-06 | 75,000 | $0.00 | 75,000 | $0.70 |
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-07-06 | 15,000 | $0.00 | 15,000 | $0.71 |
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-07-06 | 60,000 | $0.00 | 60,000 | $0.71 |
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-07-06 | 75,000 | $0.00 | 75,000 | $0.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 375,000 | 2026-01-18 | No | 4 | M | Direct | |
| 360,000 | 2023-02-11 | No | 4 | M | Direct | |
| 300,000 | 2023-02-11 | No | 4 | M | Direct | |
| 225,000 | 2025-01-06 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 Plan.
- This option vested in 16 equal quarterly installments from April 18, 2016 to January 18, 2020.
- This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.
- This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.
- This option vested in 16 equal installments from April 6, 2015 to January 6, 2019
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